NIST SP800-53

ACCESS CONTROL

AC-1 ACCESS CONTROL POLICY AND PROCEDURES

Label: INSERT into ac-1_smt_a (AC-1a.)

Parameter: ac-1_prm_1 organization-defined personnel or roles

Label: INSERT into ac-1_smt_b.1 (AC-1b.1.)

Parameter: ac-1_prm_2 organization-defined frequency

Label: INSERT into ac-1_smt_b.2 (AC-1b.2.)

Parameter: ac-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ac-1_prm_1 INSERT into ac-1_smt_a (AC-1a.) [NO PARAMETER VALUE GIVEN] :

1.	An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the access control policy and associated access controls; and

Reviews and updates the current:

1.	Access control policy ac-1_prm_2 INSERT into ac-1_smt_b.1 (AC-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Access control procedures ac-1_prm_3 INSERT into ac-1_smt_b.2 (AC-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an access control policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the access control policy are to be disseminated;

[3]	disseminates the access control policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current access control policy;

[2]	reviews and updates the current access control policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current access control procedures; and

[2]	reviews and updates the current access control procedures with the organization-defined frequency.

Assessment: EXAMINE

Access control policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access control responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

AC-2 ACCOUNT MANAGEMENT

Label: INSERT into ac-2_smt_a (AC-2a.)

Parameter: ac-2_prm_1 organization-defined information system account types

Label: INSERT into ac-2_smt_e (AC-2e.)

Parameter: ac-2_prm_2 organization-defined personnel or roles

Label: INSERT into ac-2_smt_f (AC-2f.)

Parameter: ac-2_prm_3 organization-defined procedures or conditions

Label: INSERT into ac-2_smt_j (AC-2j.)

Parameter: ac-2_prm_4 organization-defined frequency

Control

The organization:

a.	Identifies and selects the following types of information system accounts to support organizational missions/business functions: ac-2_prm_1 INSERT into ac-2_smt_a (AC-2a.) [NO PARAMETER VALUE GIVEN] ;

b.	Assigns account managers for information system accounts;

c.	Establishes conditions for group and role membership;

d.	Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;

e.	Requires approvals by ac-2_prm_2 INSERT into ac-2_smt_e (AC-2e.) [NO PARAMETER VALUE GIVEN] for requests to create information system accounts;

f.	Creates, enables, modifies, disables, and removes information system accounts in accordance with ac-2_prm_3 INSERT into ac-2_smt_f (AC-2f.) [NO PARAMETER VALUE GIVEN] ;

g.	Monitors the use of information system accounts;

Notifies account managers:

1.	When accounts are no longer required;

2.	When users are terminated or transferred; and

3.	When individual information system usage or need-to-know changes;

Authorizes access to the information system based on:

1.	A valid access authorization;

2.	Intended system usage; and

3.	Other attributes as required by the organization or associated missions/business functions;

j.	Reviews accounts for compliance with account management requirements ac-2_prm_4 INSERT into ac-2_smt_j (AC-2j.) [NO PARAMETER VALUE GIVEN] ; and

k.	Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

Supplemental guidance

Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

cf AC-10: CONCURRENT SESSION CONTROL

cf AC-17: REMOTE ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-6: CONFIGURATION SETTINGS

cf CM-11: USER-INSTALLED SOFTWARE

cf MA-3: MAINTENANCE TOOLS

cf MA-4: NONLOCAL MAINTENANCE

cf MA-5: MAINTENANCE PERSONNEL

cf PL-4: RULES OF BEHAVIOR

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization:

(a)

[1]	defines information system account types to be identified and selected to support organizational missions/business functions;

[2]	identifies and selects organization-defined information system account types to support organizational missions/business functions;

(b)	assigns account managers for information system accounts;

(c)	establishes conditions for group and role membership;

(d)

specifies for each account (as required):

[1]	authorized users of the information system;

[2]	group and role membership;

[3]	access authorizations (i.e., privileges);

[4]	other attributes;

(e)

[1]	defines personnel or roles required to approve requests to create information system accounts;

[2]	requires approvals by organization-defined personnel or roles for requests to create information system accounts;

(f)

[1]

defines procedures or conditions to:

[a]	create information system accounts;

[b]	enable information system accounts;

[c]	modify information system accounts;

[d]	disable information system accounts;

[e]	remove information system accounts;

[2]

in accordance with organization-defined procedures or conditions:

[a]	creates information system accounts;

[b]	enables information system accounts;

[c]	modifies information system accounts;

[d]	disables information system accounts;

[e]	removes information system accounts;

(g)	monitors the use of information system accounts;

(h)

notifies account managers:

(1)	when accounts are no longer required;

(2)	when users are terminated or transferred;

(3)	when individual information system usage or need to know changes;

(i)

authorizes access to the information system based on;

(1)	a valid access authorization;

(2)	intended system usage;

(3)	other attributes as required by the organization or associated missions/business functions;

(j)

[1]	defines the frequency to review accounts for compliance with account management requirements;

[2]	reviews accounts for compliance with account management requirements with the organization-defined frequency; and

(k)	establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.

Assessment: EXAMINE

Access control policy

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

list of active system accounts along with the name of the individual associated with each account

list of conditions for group and role membership

notifications or records of recently transferred, separated, or terminated employees

list of recently disabled information system accounts along with the name of the individual associated with each account

access authorization records

account management compliance reviews

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes account management on the information system

automated mechanisms for implementing account management

Control enhancements

AC-2 (1) AUTOMATED SYSTEM ACCOUNT MANAGEMENT

Control

The organization employs automated mechanisms to support the management of information system accounts.

Supplemental guidance

The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.

Objective

Determine if the organization employs automated mechanisms to support the management of information system accounts.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (2) REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

removes

disables

Label: INSERT into ac-2..2.

Parameter: ac-2_prm_6 organization-defined time period for each type of account

Control

The information system automatically ac-2_prm_5 SELECT for { ancestor-or-self::*[@id][1]/@id } removes disables [NO PARAMETER VALUE GIVEN] temporary and emergency accounts after ac-2_prm_6 INSERT into ac-2..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.

Objectives

Determine if:

[1]	the organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and

[2]	the information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.

Assessment: EXAMINE

Access control policy

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

information system-generated list of temporary accounts removed and/or disabled

information system-generated list of emergency accounts removed and/or disabled

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (3) DISABLE INACTIVE ACCOUNTS

Label: INSERT into ac-2..3.

Parameter: ac-2_prm_7 organization-defined time period

Control

The information system automatically disables inactive accounts after ac-2_prm_7 INSERT into ac-2..3. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the organization defines the time period after which the information system automatically disables inactive accounts; and

[2]	the information system automatically disables inactive accounts after the organization-defined time period.

Assessment: EXAMINE

Access control policy

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

information system-generated list of temporary accounts removed and/or disabled

information system-generated list of emergency accounts removed and/or disabled

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (4) AUTOMATED AUDIT ACTIONS

Label: INSERT into ac-2..4.

Parameter: ac-2_prm_8 organization-defined personnel or roles

Control

The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies ac-2_prm_8 INSERT into ac-2..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

Objectives

Determine if:

[1]

the information system automatically audits the following account actions:

[a]

creation;

[b]	modification;

[c]

enabling;

[d]	disabling;

[e]

removal;

[2]

the organization defines personnel or roles to be notified of the following account actions:

[a]

creation;

[b]	modification;

[c]

enabling;

[d]	disabling;

[e]

removal;

[3]

the information system notifies organization-defined personnel or roles of the following account actions:

[a]

creation;

[b]	modification;

[c]

enabling;

[d]	disabling; and

[e]

removal.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

notifications/alerts of account creation, modification, enabling, disabling, and removal actions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (5) INACTIVITY LOGOUT

Label: INSERT into ac-2..5.

Parameter: ac-2_prm_9 organization-defined time-period of expected inactivity or description of when to log out

Control

The organization requires that users log out when ac-2_prm_9 INSERT into ac-2..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf SC-23: SESSION AUTHENTICITY

Objectives

Determine if the organization:

[1]	defines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and

[2]	requires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.

Assessment: EXAMINE

Access control policy

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

security violation reports

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

users that must comply with inactivity logout policy

AC-2 (6) DYNAMIC PRIVILEGE MANAGEMENT

Label: INSERT into ac-2..6.

Parameter: ac-2_prm_10 organization-defined list of dynamic privilege management capabilities

Control

The information system implements the following dynamic privilege management capabilities: ac-2_prm_10 INSERT into ac-2..6. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

[1]	the organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and

[2]	the information system implements the organization-defined list of dynamic privilege management capabilities.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

system-generated list of dynamic privilege management capabilities

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Information system implementing dynamic privilege management capabilities

AC-2 (7) ROLE-BASED SCHEMES

Label: INSERT into ac-2..7._smt_c (AC-2 (7)(c))

Parameter: ac-2_prm_11 organization-defined actions

Control

The organization:

(a)	Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;

(b)	Monitors privileged role assignments; and

(c)	Takes ac-2_prm_11 INSERT into ac-2..7._smt_c (AC-2 (7)(c)) [NO PARAMETER VALUE GIVEN] when privileged role assignments are no longer appropriate.

Supplemental guidance

Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.

Objectives

Determine if the organization:

(a)	establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;

(b)	monitors privileged role assignments;

(c)

[1]	defines actions to be taken when privileged role assignments are no longer appropriate; and

[2]	takes organization-defined actions when privileged role assignments are no longer appropriate.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system-generated list of privileged user accounts and associated role

records of actions taken when privileged role assignments are no longer appropriate

information system audit records

audit tracking and monitoring reports

information system monitoring records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing account management functions

automated mechanisms monitoring privileged role assignments

AC-2 (8) DYNAMIC ACCOUNT CREATION

Label: INSERT into ac-2..8.

Parameter: ac-2_prm_12 organization-defined information system accounts

Control

The information system creates ac-2_prm_12 INSERT into ac-2..8. [NO PARAMETER VALUE GIVEN] dynamically.

Supplemental guidance

Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

[1]	the organization defines information system accounts to be created by the information system dynamically; and

[2]	the information system creates organization-defined information system accounts dynamically.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

system-generated list of information system accounts

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (9) RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS

Label: INSERT into ac-2..9.

Parameter: ac-2_prm_13 organization-defined conditions for establishing shared/group accounts

Control

The organization only permits the use of shared/group accounts that meet ac-2_prm_13 INSERT into ac-2..9. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines conditions for establishing shared/group accounts; and

[2]	only permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

system-generated list of shared/group accounts and associated role

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing management of shared/group accounts

AC-2 (10) SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION

Control

The information system terminates shared/group account credentials when members leave the group.

Objective

Determine if the information system terminates shared/group account credentials when members leave the group.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

account access termination records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (11) USAGE CONDITIONS

Label: INSERT into ac-2..11.

Parameter: ac-2_prm_14 organization-defined circumstances and/or usage conditions

Label: INSERT into ac-2..11.

Parameter: ac-2_prm_15 organization-defined information system accounts

Control

The information system enforces ac-2_prm_14 INSERT into ac-2..11. [NO PARAMETER VALUE GIVEN] for ac-2_prm_15 INSERT into ac-2..11. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.

Objectives

Determine if:

[1]	the organization defines circumstances and/or usage conditions to be enforced for information system accounts;

[2]	the organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and

[3]	the information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

system-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (12) ACCOUNT MONITORING / ATYPICAL USAGE

Label: INSERT into ac-2..12._smt_a (AC-2 (12)(a))

Parameter: ac-2_prm_16 organization-defined atypical usage

Label: INSERT into ac-2..12._smt_b (AC-2 (12)(b))

Parameter: ac-2_prm_17 organization-defined personnel or roles

Control

The organization:

(a)	Monitors information system accounts for ac-2_prm_16 INSERT into ac-2..12._smt_a (AC-2 (12)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Reports atypical usage of information system accounts to ac-2_prm_17 INSERT into ac-2..12._smt_b (AC-2 (12)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.

cf CA-7: CONTINUOUS MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines atypical usage to be monitored for information system accounts;

[2]	monitors information system accounts for organization-defined atypical usage;

(b)

[1]	defines personnel or roles to whom atypical usage of information system accounts are to be reported; and

[2]	reports atypical usage of information system accounts to organization-defined personnel or roles.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system monitoring records

information system audit records

audit tracking and monitoring reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing account management functions

AC-2 (13) DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS

Label: INSERT into ac-2..13.

Parameter: ac-2_prm_18 organization-defined time period

Control

The organization disables accounts of users posing a significant risk within ac-2_prm_18 INSERT into ac-2..13. [NO PARAMETER VALUE GIVEN] of discovery of the risk.

Supplemental guidance

Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.

cf PS-4: PERSONNEL TERMINATION

Objectives

Determine if the organization:

[1]	defines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and

[2]	disables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.

Assessment: EXAMINE

Access control policy

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

system-generated list of disabled accounts

list of user activities posing significant organizational risk

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing account management functions

References: None

AC-3 ACCESS ENFORCEMENT

Control

The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Supplemental guidance

Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

cf AC-16: SECURITY ATTRIBUTES

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf AC-21: INFORMATION SHARING

cf AC-22: PUBLICLY ACCESSIBLE CONTENT

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-6: CONFIGURATION SETTINGS

cf CM-11: USER-INSTALLED SOFTWARE

cf MA-3: MAINTENANCE TOOLS

cf MA-4: NONLOCAL MAINTENANCE

cf MA-5: MAINTENANCE PERSONNEL

cf PE-3: PHYSICAL ACCESS CONTROL

Objective

Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

list of approved authorizations (user privileges)

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy

Control enhancements

AC-3 (1) RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS

cf AC-6: LEAST PRIVILEGE

Control

Withdrawn: Incorporated into AC-6.

AC-3 (2) DUAL AUTHORIZATION

Label: INSERT into ac-3..2.

Parameter: ac-3_prm_1 organization-defined privileged commands and/or other organization-defined actions

Control

The information system enforces dual authorization for ac-3_prm_1 INSERT into ac-3..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.

cf CP-9: INFORMATION SYSTEM BACKUP

cf MP-6: MEDIA SANITIZATION

Objectives

Determine if:

[1]	the organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and

[2]	the information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement and dual authorization

security plan

information system design documentation

information system configuration settings and associated documentation

list of privileged commands requiring dual authorization

list of actions requiring dual authorization

list of approved authorizations (user privileges)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Dual authorization mechanisms implementing access control policy

AC-3 (3) MANDATORY ACCESS CONTROL

Label: INSERT into ac-3..3.

Parameter: ac-3_prm_2 organization-defined mandatory access control policy

Label: INSERT into ac-3..3._smt_c (AC-3 (3)(c))

Parameter: ac-3_prm_3 organization-defined subjects

Label: INSERT into ac-3..3._smt_c (AC-3 (3)(c))

Parameter: ac-3_prm_4 organization-defined privileges (i.e., they are trusted subjects)

Control

The information system enforces ac-3_prm_2 INSERT into ac-3..3. [NO PARAMETER VALUE GIVEN] over all subjects and objects where the policy:

(a)	Is uniformly enforced across all subjects and objects within the boundary of the information system;

(b)

Specifies that a subject that has been granted access to information is constrained from doing any of the following;

(1)	Passing the information to unauthorized subjects or objects;

(2)	Granting its privileges to other subjects;

(3)	Changing one or more security attributes on subjects, objects, the information system, or information system components;

(4)	Choosing the security attributes and attribute values to be associated with newly created or modified objects; or

(5)	Changing the rules governing access control; and

(c)	Specifies that ac-3_prm_3 INSERT into ac-3..3._smt_c (AC-3 (3)(c)) [NO PARAMETER VALUE GIVEN] may explicitly be granted ac-3_prm_4 INSERT into ac-3..3._smt_c (AC-3 (3)(c)) [NO PARAMETER VALUE GIVEN] such that they are not limited by some or all of the above constraints.

Supplemental guidance

Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.

cf AC-25: REFERENCE MONITOR

cf SC-11: TRUSTED PATH

Objectives

Determine if:

[1]	the organization defines mandatory access control policies to be enforced over all subjects and objects;

[2]	the organization defines subjects over which organization-defined mandatory access control policies are to be enforced;

[3]	the organization defines objects over which organization-defined mandatory access control policies are to be enforced;

[4]	the organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;

[5]	the organization defines privileges that may be granted to organization-defined subjects;

[6]

the information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:

(a)	the policy is uniformly enforced across all subjects and objects within the boundary of the information system;

(b)

a subject that has been granted access to information is constrained from doing any of the following:

(1)	passing the information to unauthorized subjects or objects;

(2)	granting its privileges to other subjects;

(3)

changing one or more security attributes on:

[a]

subjects;

[b]

objects;

[c]	the information system; or

[d]	system components;

(4)	choosing the security attributes and attribute values to be associated with newly created or modified objects; or

(5)	changing the rules governing access control; and

(c)	organization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.

Assessment: EXAMINE

Access control policy

mandatory access control policies

procedures addressing access enforcement

security plan

information system design documentation

information system configuration settings and associated documentation

list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing mandatory access control

AC-3 (4) DISCRETIONARY ACCESS CONTROL

Label: INSERT into ac-3..4.

Parameter: ac-3_prm_5 organization-defined discretionary access control policy

Control

The information system enforces ac-3_prm_5 INSERT into ac-3..4. [NO PARAMETER VALUE GIVEN] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:

(a)	Pass the information to any other subjects or objects;

(b)	Grant its privileges to other subjects;

(c)	Change security attributes on subjects, objects, the information system, or the information system’s components;

(d)	Choose the security attributes to be associated with newly created or revised objects; or

(e)	Change the rules governing access control.

Supplemental guidance

When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.

Objectives

Determine if:

[1]	the organization defines discretionary access control policies to be enforced over defined subjects and objects;

[2]

the information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:

(a)	pass the information to any other subjects or objects;

(b)	grant its privileges to other subjects;

(c)

change security attributes on:

[a]

subjects,

[b]

objects,

[c]	the information system, or

[d]	the information system’s components;

(d)	choose the security attributes to be associated with newly created or revised objects; or

(e)	change the rules governing access control.

Assessment: EXAMINE

Access control policy

discretionary access control policies

procedures addressing access enforcement

security plan

information system design documentation

information system configuration settings and associated documentation

list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing discretionary access control policy

AC-3 (5) SECURITY-RELEVANT INFORMATION

Label: INSERT into ac-3..5.

Parameter: ac-3_prm_6 organization-defined security-relevant information

Control

The information system prevents access to ac-3_prm_6 INSERT into ac-3..5. [NO PARAMETER VALUE GIVEN] except during secure, non-operable system states.

Supplemental guidance

Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).

cf CM-3: CONFIGURATION CHANGE CONTROL

Objectives

Determine if:

[1]	the organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and

[2]	the information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms preventing access to security-relevant information within the information system

AC-3 (6) PROTECTION OF USER AND SYSTEM INFORMATION

cf MP-4: MEDIA STORAGE

cf SC-28: PROTECTION OF INFORMATION AT REST

Control

Withdrawn: Incorporated into MP-4 and SC-28.

AC-3 (7) ROLE-BASED ACCESS CONTROL

Label: INSERT into ac-3..7.

Parameter: ac-3_prm_7 organization-defined roles and users authorized to assume such roles

Control

The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon ac-3_prm_7 INSERT into ac-3..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.

Objectives

Determine if:

[1]	the organization defines roles to control information system access;

[2]	the organization defines users authorized to assume the organization-defined roles;

[3]	the information system controls access based on organization-defined roles and users authorized to assume such roles;

[4]

the information system enforces a role-based access control policy over defined:

[a]	subjects, and

[b]

objects.

Assessment: EXAMINE

Access control policy

role-based access control policies

procedures addressing access enforcement

security plan, information system design documentation

information system configuration settings and associated documentation

list of roles, users, and associated privileges required to control information system access

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing role-based access control policy

AC-3 (8) REVOCATION OF ACCESS AUTHORIZATIONS

Label: INSERT into ac-3..8.

Parameter: ac-3_prm_8 organization-defined rules governing the timing of revocations of access authorizations

Control

The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on ac-3_prm_8 INSERT into ac-3..8. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.

Objectives

Determine if:

[1]	the organization defines rules governing the timing of revocations of access authorizations; and

[2]	the information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

rules governing revocation of access authorizations, information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement functions

AC-3 (9) CONTROLLED RELEASE

Label: INSERT into ac-3..9._smt_a (AC-3 (9)(a))

Parameter: ac-3_prm_9 organization-defined information system or system component

Label: INSERT into ac-3..9._smt_a (AC-3 (9)(a))

Parameter: ac-3_prm_10 organization-defined security safeguards

Label: INSERT into ac-3..9._smt_b (AC-3 (9)(b))

Parameter: ac-3_prm_11 organization-defined security safeguards

Control

The information system does not release information outside of the established system boundary unless:

(a)	The receiving ac-3_prm_9 INSERT into ac-3..9._smt_a (AC-3 (9)(a)) [NO PARAMETER VALUE GIVEN] provides ac-3_prm_10 INSERT into ac-3..9._smt_a (AC-3 (9)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	ac-3_prm_11 INSERT into ac-3..9._smt_b (AC-3 (9)(b)) [NO PARAMETER VALUE GIVEN] are used to validate the appropriateness of the information designated for release.

Supplemental guidance

Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.

Objectives

Determine if:

[1]	the organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;

[2]	the organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;

[3]	the organization defines security safeguards to be used to validate the appropriateness of the information designated for release;

[4]

the information system does not release information outside of the established system boundary unless:

(a)	the receiving organization-defined information system or system component provides organization-defined security safeguards; and

(b)	the organization-defined security safeguards are used to validate the appropriateness of the information designated for release.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

list of security safeguards provided by receiving information system or system components

list of security safeguards validating appropriateness of information designated for release

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement functions

AC-3 (10) AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS

Label: INSERT into ac-3..10.

Parameter: ac-3_prm_12 organization-defined conditions

Control

The organization employs an audited override of automated access control mechanisms under ac-3_prm_12 INSERT into ac-3..10. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objectives

Determine if the organization:

[1]	defines conditions under which to employ an audited override of automated access control mechanisms; and

[2]	employs an audited override of automated access control mechanisms under organization-defined conditions.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

conditions for employing audited override of automated access control mechanisms

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing access enforcement functions

References: None

AC-4 INFORMATION FLOW ENFORCEMENT

Label: INSERT into ac-4

Parameter: ac-4_prm_1 organization-defined information flow control policies

Control

The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on ac-4_prm_1 INSERT into ac-4 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.

cf AC-3: ACCESS ENFORCEMENT

cf AC-17: REMOTE ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AC-21: INFORMATION SHARING

cf CM-6: CONFIGURATION SETTINGS

cf CM-7: LEAST FUNCTIONALITY

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SC-2: APPLICATION PARTITIONING

cf SC-5: DENIAL OF SERVICE PROTECTION

cf SC-7: BOUNDARY PROTECTION

cf SC-18: MOBILE CODE

Objectives

Determine if:

[1]	the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and

[2]	the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system baseline configuration

list of information flow authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

Control enhancements

AC-4 (1) OBJECT SECURITY ATTRIBUTES

Label: INSERT into ac-4..1.

Parameter: ac-4_prm_2 organization-defined security attributes

Label: INSERT into ac-4..1.

Parameter: ac-4_prm_3 organization-defined information, source, and destination objects

Label: INSERT into ac-4..1.

Parameter: ac-4_prm_4 organization-defined information flow control policies

Control

The information system uses ac-4_prm_2 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] associated with ac-4_prm_3 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] to enforce ac-4_prm_4 INSERT into ac-4..1. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions.

Supplemental guidance

Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

[1]	the organization defines information flow control policies as a basis for flow control decisions;

[2]	the organization defines security attributes to be associated with information, source, and destination objects;

[3]

the organization defines the following objects to be associated with organization-defined security attributes:

[a]	information;

[b]

source;

[c]	destination; and

[4]	the information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security attributes and associated information, source, and destination objects enforcing information flow control policies

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (2) PROCESSING DOMAINS

Label: INSERT into ac-4..2.

Parameter: ac-4_prm_5 organization-defined information flow control policies

Control

The information system uses protected processing domains to enforce ac-4_prm_5 INSERT into ac-4..2. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions.

Supplemental guidance

Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.

Objectives

Determine if:

[1]	the organization defines information flow control policies as a basis for flow control decisions; and

[2]	the information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system security architecture and associated documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (3) DYNAMIC INFORMATION FLOW CONTROL

Label: INSERT into ac-4..3.

Parameter: ac-4_prm_6 organization-defined policies

Control

The information system enforces dynamic information flow control based on ac-4_prm_6 INSERT into ac-4..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if:

[1]	the organization defines policies to enforce dynamic information flow control; and

[2]	the information system enforces dynamic information flow control based on organization-defined policies.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system security architecture and associated documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (4) CONTENT CHECK ENCRYPTED INFORMATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

decrypting the information

blocking the flow of the encrypted information

terminating communications sessions attempting to pass encrypted information

ac-4_prm_8 INSERT into ac-4..4. [NO PARAMETER VALUE GIVEN]

Label: INSERT into ac-4..4.

Parameter: ac-4_prm_8 organization-defined procedure or method

Control

The information system prevents encrypted information from bypassing content-checking mechanisms by ac-4_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } decrypting the information blocking the flow of the encrypted information terminating communications sessions attempting to pass encrypted information [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if:

[1]	the organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;

[2]

the information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:

[a]	decrypting the information;

[b]	blocking the flow of the encrypted information;

[c]	terminating communications sessions attempting to pass encrypted information; and/or

[d]	employing the organization-defined procedure or method.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (5) EMBEDDED DATA TYPES

Label: INSERT into ac-4..5.

Parameter: ac-4_prm_9 organization-defined limitations

Control

The information system enforces ac-4_prm_9 INSERT into ac-4..5. [NO PARAMETER VALUE GIVEN] on embedding data types within other data types.

Supplemental guidance

Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.

Objectives

Determine if:

[1]	the organization defines limitations to be enforced on embedding data types within other data types; and

[2]	the information system enforces organization-defined limitations on embedding data types within other data types.

Assessment: EXAMINE

Access control policy

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of limitations to be enforced on embedding data types within other data types

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (6) METADATA

Label: INSERT into ac-4..6.

Parameter: ac-4_prm_10 organization-defined metadata

Control

The information system enforces information flow control based on ac-4_prm_10 INSERT into ac-4..6. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).

cf AC-16: SECURITY ATTRIBUTES

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if:

[1]	the organization defines metadata to be used as a means of enforcing information flow control; and

[2]	the information system enforces information flow control based on organization-defined metadata.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

types of metadata used to enforce information flow control decisions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (7) ONE-WAY FLOW MECHANISMS

Label: INSERT into ac-4..7.

Parameter: ac-4_prm_11 organization-defined one-way information flows

Control

The information system enforces ac-4_prm_11 INSERT into ac-4..7. [NO PARAMETER VALUE GIVEN] using hardware mechanisms.

Objectives

Determine if:

[1]	the organization defines one-way information flows to be enforced by the information system; and

[2]	the information system enforces organization-defined one-way information flows using hardware mechanisms.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system hardware mechanisms and associated configurations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Hardware mechanisms implementing information flow enforcement policy

AC-4 (8) SECURITY POLICY FILTERS

Label: INSERT into ac-4..8.

Parameter: ac-4_prm_12 organization-defined security policy filters

Label: INSERT into ac-4..8.

Parameter: ac-4_prm_13 organization-defined information flows

Control

The information system enforces information flow control using ac-4_prm_12 INSERT into ac-4..8. [NO PARAMETER VALUE GIVEN] as a basis for flow control decisions for ac-4_prm_13 INSERT into ac-4..8. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).

Objectives

Determine if:

[1]	the organization defines security policy filters to be used as a basis for enforcing flow control decisions;

[2]	the organization defines information flows for which flow control decisions are to be applied and enforced; and

[3]	the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security policy filters regulating flow control decisions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (9) HUMAN REVIEWS

Label: INSERT into ac-4..9.

Parameter: ac-4_prm_14 organization-defined information flows

Label: INSERT into ac-4..9.

Parameter: ac-4_prm_15 organization-defined conditions

Control

The information system enforces the use of human reviews for ac-4_prm_14 INSERT into ac-4..9. [NO PARAMETER VALUE GIVEN] under the following conditions: ac-4_prm_15 INSERT into ac-4..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.

Objectives

Determine if:

[1]	the organization defines information flows requiring the use of human reviews;

[2]	the organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and

[3]	the information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

records of human reviews regarding information flows

list of conditions requiring human reviews for information flows

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with information flow enforcement responsibilities

system developers

Assessment: TEST

Automated mechanisms enforcing the use of human reviews

AC-4 (10) ENABLE / DISABLE SECURITY POLICY FILTERS

Label: INSERT into ac-4..10.

Parameter: ac-4_prm_16 organization-defined security policy filters

Label: INSERT into ac-4..10.

Parameter: ac-4_prm_17 organization-defined conditions

Control

The information system provides the capability for privileged administrators to enable/disable ac-4_prm_16 INSERT into ac-4..10. [NO PARAMETER VALUE GIVEN] under the following conditions: ac-4_prm_17 INSERT into ac-4..10. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.

Objectives

Determine if:

[1]	the organization defines security policy filters that privileged administrators have the capability to enable/disable;

[2]	the organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and

[3]	the information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.

Assessment: EXAMINE

Access control policy

information flow information policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security policy filters enabled/disabled by privileged administrators

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for enabling/disabling security policy filters

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (11) CONFIGURATION OF SECURITY POLICY FILTERS

Label: INSERT into ac-4..11.

Parameter: ac-4_prm_18 organization-defined security policy filters

Control

The information system provides the capability for privileged administrators to configure ac-4_prm_18 INSERT into ac-4..11. [NO PARAMETER VALUE GIVEN] to support different security policies.

Supplemental guidance

For example, to reflect changes in security policies, administrators can change the list of “dirty words” that security policy mechanisms check in accordance with the definitions provided by organizations.

Objectives

Determine if:

[1]	the organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and

[2]	the information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security policy filters

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for configuring security policy filters

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (12) DATA TYPE IDENTIFIERS

Label: INSERT into ac-4..12.

Parameter: ac-4_prm_19 organization-defined data type identifiers

Control

The information system, when transferring information between different security domains, uses ac-4_prm_19 INSERT into ac-4..12. [NO PARAMETER VALUE GIVEN] to validate data essential for information flow decisions.

Supplemental guidance

Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.

Objectives

Determine if:

[1]	the organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and

[2]	the information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of data type identifiers

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (13) DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS

Label: INSERT into ac-4..13.

Parameter: ac-4_prm_20 organization-defined policy-relevant subcomponents

Control

The information system, when transferring information between different security domains, decomposes information into ac-4_prm_20 INSERT into ac-4..13. [NO PARAMETER VALUE GIVEN] for submission to policy enforcement mechanisms.

Supplemental guidance

Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.

Objectives

Determine if:

[1]	the organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and

[2]	the information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (14) SECURITY POLICY FILTER CONSTRAINTS

Label: INSERT into ac-4..14.

Parameter: ac-4_prm_21 organization-defined security policy filters

Control

The information system, when transferring information between different security domains, implements ac-4_prm_21 INSERT into ac-4..14. [NO PARAMETER VALUE GIVEN] requiring fully enumerated formats that restrict data structure and content.

Supplemental guidance

Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.

Objectives

Determine if:

[1]	the organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and

[2]	the information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security policy filters

list of data content policy filters

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (15) DETECTION OF UNSANCTIONED INFORMATION

Label: INSERT into ac-4..15.

Parameter: ac-4_prm_22 organized-defined unsanctioned information

Label: INSERT into ac-4..15.

Parameter: ac-4_prm_23 organization-defined security policy

Control

The information system, when transferring information between different security domains, examines the information for the presence of ac-4_prm_22 INSERT into ac-4..15. [NO PARAMETER VALUE GIVEN] and prohibits the transfer of such information in accordance with the ac-4_prm_23 INSERT into ac-4..15. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if:

[1]	the organization defines unsanctioned information to be detected when transferring information between different security domains;

[2]	the organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and

[3]	the information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of unsanctioned information types and associated information

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (16) INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS

cf AC-4: INFORMATION FLOW ENFORCEMENT

Control

Withdrawn: Incorporated into AC-4.

AC-4 (17) DOMAIN AUTHENTICATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

organization, system, application, individual

Control

The information system uniquely identifies and authenticates source and destination points by ac-4_prm_24 SELECT for { ancestor-or-self::*[@id][1]/@id } organization, system, application, individual [NO PARAMETER VALUE GIVEN] for information transfer.

Supplemental guidance

Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

Objectives

Determine if the information system uniquely identifies and authenticates:

[1]

[a]	source points for information transfer;

[b]	destination points for information transfer;

[2]

by one or more of the following:

[a]	organization;

[b]

system;

[c]	application; and/or

[d]	individual.

Assessment: EXAMINE

Access control policy

information flow control policies

procedures addressing information flow enforcement

procedures addressing source and destination domain identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement policy

AC-4 (18) SECURITY ATTRIBUTE BINDING

Label: INSERT into ac-4..18.

Parameter: ac-4_prm_25 organization-defined binding techniques

Control

The information system binds security attributes to information using ac-4_prm_25 INSERT into ac-4..18. [NO PARAMETER VALUE GIVEN] to facilitate information flow policy enforcement.

Supplemental guidance

Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.

cf AC-16: SECURITY ATTRIBUTES

cf SC-16: TRANSMISSION OF SECURITY ATTRIBUTES

Objectives

Determine if:

[1]	the organization defines binding techniques to be used to facilitate information flow policy enforcement; and

[2]	the information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.

Assessment: EXAMINE

Information flow enforcement policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of binding techniques to bind security attributes to information

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information flow enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement functions

AC-4 (19) VALIDATION OF METADATA

Control

The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.

Supplemental guidance

This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.

Objective

Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.

Assessment: EXAMINE

Information flow enforcement policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of security policy filtering criteria applied to metadata and data payloads

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information flow enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement functions

AC-4 (20) APPROVED SOLUTIONS

Label: INSERT into ac-4..20.

Parameter: ac-4_prm_26 organization-defined solutions in approved configurations

Label: INSERT into ac-4..20.

Parameter: ac-4_prm_27 organization-defined information

Control

The organization employs ac-4_prm_26 INSERT into ac-4..20. [NO PARAMETER VALUE GIVEN] to control the flow of ac-4_prm_27 INSERT into ac-4..20. [NO PARAMETER VALUE GIVEN] across security domains.

Supplemental guidance

Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.

Objectives

Determine if the organization:

[1]	defines solutions in approved configurations to control the flow of information across security domains;

[2]	defines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and

[3]	employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.

Assessment: EXAMINE

Information flow enforcement policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of solutions in approved configurations

approved configuration baselines

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information flow enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing information flow enforcement functions

AC-4 (21) PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS

Label: INSERT into ac-4..21.

Parameter: ac-4_prm_28 organization-defined mechanisms and/or techniques

Label: INSERT into ac-4..21.

Parameter: ac-4_prm_29 organization-defined required separations by types of information

Control

The information system separates information flows logically or physically using ac-4_prm_28 INSERT into ac-4..21. [NO PARAMETER VALUE GIVEN] to accomplish ac-4_prm_29 INSERT into ac-4..21. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.

Objectives

Determine if:

[1]	the organization defines the required separations of information flows by types of information;

[2]	the organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and

[3]	the information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.

Assessment: EXAMINE

Information flow enforcement policy

information flow control policies

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

list of required separation of information flows by information types

list of mechanisms and/or techniques used to logically or physically separate information flows

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information flow enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing information flow enforcement functions

AC-4 (22) ACCESS ONLY

Control

The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.

Supplemental guidance

The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.

Objective

Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.

Assessment: EXAMINE

Information flow enforcement policy

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information flow enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing information flow enforcement functions

References: None

AC-5 SEPARATION OF DUTIES

Label: INSERT into ac-5_smt_a (AC-5a.)

Parameter: ac-5_prm_1 organization-defined duties of individuals

Control

The organization:

a.	Separates ac-5_prm_1 INSERT into ac-5_smt_a (AC-5a.) [NO PARAMETER VALUE GIVEN] ;

b.	Documents separation of duties of individuals; and

c.	Defines information system access authorizations to support separation of duties.

Supplemental guidance

Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PS-2: POSITION RISK DESIGNATION

Objectives

Determine if the organization:

(a)

[1]	defines duties of individuals to be separated;

[2]	separates organization-defined duties of individuals;

(b)	documents separation of duties; and

(c)	defines information system access authorizations to support separation of duties.

Assessment: EXAMINE

Access control policy

procedures addressing divisions of responsibility and separation of duties

information system configuration settings and associated documentation

list of divisions of responsibility and separation of duties

information system access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing separation of duties policy

References: None

AC-6 LEAST PRIVILEGE

Control

The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

Supplemental guidance

Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf CM-6: CONFIGURATION SETTINGS

cf CM-7: LEAST FUNCTIONALITY

cf PL-2: SYSTEM SECURITY PLAN

Objective

Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of assigned access authorizations (user privileges)

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing least privilege functions

Control enhancements

AC-6 (1) AUTHORIZE ACCESS TO SECURITY FUNCTIONS

Label: INSERT into ac-6..1.

Parameter: ac-6_prm_1 organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information

Control

The organization explicitly authorizes access to ac-6_prm_1 INSERT into ac-6..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

Objectives

Determine if the organization:

[1]	defines security-relevant information for which access must be explicitly authorized;

[2]

defines security functions deployed in:

[a]

hardware;

[b]

software;

[c]

firmware;

[3]

explicitly authorizes access to:

[a]	organization-defined security functions; and

[b]	security-relevant information.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing least privilege functions

AC-6 (2) NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS

Label: INSERT into ac-6..2.

Parameter: ac-6_prm_2 organization-defined security functions or security-relevant information

Control

The organization requires that users of information system accounts, or roles, with access to ac-6_prm_2 INSERT into ac-6..2. [NO PARAMETER VALUE GIVEN] , use non-privileged accounts or roles, when accessing nonsecurity functions.

Supplemental guidance

This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.

cf PL-4: RULES OF BEHAVIOR

Objectives

Determine if the organization:

[1]	defines security functions or security-relevant information to which users of information system accounts, or roles, have access; and

[2]	requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of system-generated security functions or security-relevant information assigned to information system accounts or roles

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing least privilege functions

AC-6 (3) NETWORK ACCESS TO PRIVILEGED COMMANDS

Label: INSERT into ac-6..3.

Parameter: ac-6_prm_3 organization-defined privileged commands

Label: INSERT into ac-6..3.

Parameter: ac-6_prm_4 organization-defined compelling operational needs

Control

The organization authorizes network access to ac-6_prm_3 INSERT into ac-6..3. [NO PARAMETER VALUE GIVEN] only for ac-6_prm_4 INSERT into ac-6..3. [NO PARAMETER VALUE GIVEN] and documents the rationale for such access in the security plan for the information system.

Supplemental guidance

Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

cf AC-17: REMOTE ACCESS

Objectives

Determine if the organization:

[1]	defines privileged commands to which network access is to be authorized only for compelling operational needs;

[2]	defines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;

[3]	authorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and

[4]	documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

security plan

information system configuration settings and associated documentation

information system audit records

list of operational needs for authorizing network access to privileged commands

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing least privilege functions

AC-6 (4) SEPARATE PROCESSING DOMAINS

Control

The information system provides separate processing domains to enable finer-grained allocation of user privileges.

Supplemental guidance

Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf SC-3: SECURITY FUNCTION ISOLATION

cf SC-30: CONCEALMENT AND MISDIRECTION

cf SC-32: INFORMATION SYSTEM PARTITIONING

Objective

Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing least privilege functions

AC-6 (5) PRIVILEGED ACCOUNTS

Label: INSERT into ac-6..5.

Parameter: ac-6_prm_5 organization-defined personnel or roles

Control

The organization restricts privileged accounts on the information system to ac-6_prm_5 INSERT into ac-6..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

cf CM-6: CONFIGURATION SETTINGS

Objectives

Determine if the organization:

[1]	defines personnel or roles for which privileged accounts on the information system are to be restricted; and

[2]	restricts privileged accounts on the information system to organization-defined personnel or roles.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of system-generated privileged accounts

list of system administration personnel

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing least privilege functions

AC-6 (6) PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS

Control

The organization prohibits privileged access to the information system by non-organizational users.

Supplemental guidance

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Objective

Determine if the organization prohibits privileged access to the information system by non-organizational users.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of system-generated privileged accounts

list of non-organizational users

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms prohibiting privileged access to the information system

AC-6 (7) REVIEW OF USER PRIVILEGES

Label: INSERT into ac-6..7._smt_a (AC-6 (7)(a))

Parameter: ac-6_prm_6 organization-defined frequency

Label: INSERT into ac-6..7._smt_a (AC-6 (7)(a))

Parameter: ac-6_prm_7 organization-defined roles or classes of users

Control

The organization:

(a)	Reviews ac-6_prm_6 INSERT into ac-6..7._smt_a (AC-6 (7)(a)) [NO PARAMETER VALUE GIVEN] the privileges assigned to ac-6_prm_7 INSERT into ac-6..7._smt_a (AC-6 (7)(a)) [NO PARAMETER VALUE GIVEN] to validate the need for such privileges; and

(b)	Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.

Supplemental guidance

The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.

cf CA-7: CONTINUOUS MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines roles or classes of users to which privileges are assigned;

[2]	defines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;

[3]	reviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and

(b)	reassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of system-generated roles or classes of users and assigned privileges

information system design documentation

information system configuration settings and associated documentation

validation reviews of privileges assigned to roles or classes or users

records of privilege removals or reassignments for roles or classes of users

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing review of user privileges

AC-6 (8) PRIVILEGE LEVELS FOR CODE EXECUTION

Label: INSERT into ac-6..8.

Parameter: ac-6_prm_8 organization-defined software

Control

The information system prevents ac-6_prm_8 INSERT into ac-6..8. [NO PARAMETER VALUE GIVEN] from executing at higher privilege levels than users executing the software.

Supplemental guidance

In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.

Objectives

Determine if:

[1]	the organization defines software that should not execute at higher privilege levels than users executing the software; and

[2]	the information system prevents organization-defined software from executing at higher privilege levels than users executing the software.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

list of software that should not execute at higher privilege levels than users executing software

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing least privilege functions for software execution

AC-6 (9) AUDITING USE OF PRIVILEGED FUNCTIONS

Control

The information system audits the execution of privileged functions.

Supplemental guidance

Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).

cf AU-2: AUDIT EVENTS

Objective

Determine if the information system audits the execution of privileged functions.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

information system design documentation

information system configuration settings and associated documentation

list of privileged functions to be audited

list of audited events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms auditing the execution of least privilege functions

AC-6 (10) PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

Control

The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.

Supplemental guidance

Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.

Objectives

Determine if the information system prevents non-privileged users from executing privileged functions to include:

[1]	disabling implemented security safeguards/countermeasures;

[2]	circumventing security safeguards/countermeasures; or

[3]	altering implemented security safeguards/countermeasures.

Assessment: EXAMINE

Access control policy

procedures addressing least privilege

information system design documentation

information system configuration settings and associated documentation

list of privileged functions and associated user account assignments

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing least privilege functions for non-privileged users

References: None

AC-7 UNSUCCESSFUL LOGON ATTEMPTS

Label: INSERT into ac-7_smt_a (AC-7a.)

Parameter: ac-7_prm_1 organization-defined number

Label: INSERT into ac-7_smt_a (AC-7a.)

Parameter: ac-7_prm_2 organization-defined time period

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: ac-7_prm_3 Insertion into AC-7b.

locks the account/node for an ac-7_prm_4 INSERT into ac-7_smt_b (AC-7b.) [NO PARAMETER VALUE GIVEN]

locks the account/node until released by an administrator

delays next logon prompt according to ac-7_prm_5 INSERT into ac-7_smt_b (AC-7b.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into ac-7_smt_b (AC-7b.)

Parameter: ac-7_prm_4 organization-defined time period

Label: INSERT into ac-7_smt_b (AC-7b.)

Parameter: ac-7_prm_5 organization-defined delay algorithm

Control

The information system:

a.	Enforces a limit of ac-7_prm_1 INSERT into ac-7_smt_a (AC-7a.) [NO PARAMETER VALUE GIVEN] consecutive invalid logon attempts by a user during a ac-7_prm_2 INSERT into ac-7_smt_a (AC-7a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Automatically ac-7_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } locks the account/node for an locks the account/node until released by an administrator delays next logon prompt according to [NO PARAMETER VALUE GIVEN] when the maximum number of unsuccessful attempts is exceeded.

Supplemental guidance

This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-9: PREVIOUS LOGON (ACCESS) NOTIFICATION

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

cf IA-5: AUTHENTICATOR MANAGEMENT

Objectives

Determine if:

(a)

[1]	the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;

[2]	the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;

[3]	the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;

(b)

[1]	the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;

[2]

the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:

[a]	locks the account/node for the organization-defined time period;

[b]	locks the account/node until released by an administrator; or

[c]	delays next logon prompt according to the organization-defined delay algorithm.

Assessment: EXAMINE

Access control policy

procedures addressing unsuccessful logon attempts

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system developers

system/network administrators

Assessment: TEST

Automated mechanisms implementing access control policy for unsuccessful logon attempts

Control enhancements

AC-7 (1) AUTOMATIC ACCOUNT LOCK

cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS

Control

Withdrawn: Incorporated into AC-7.

AC-7 (2) PURGE / WIPE MOBILE DEVICE

Label: INSERT into ac-7..2.

Parameter: ac-7_prm_6 organization-defined mobile devices

Label: INSERT into ac-7..2.

Parameter: ac-7_prm_7 organization-defined purging/wiping requirements/techniques

Label: INSERT into ac-7..2.

Parameter: ac-7_prm_8 organization-defined number

Control

The information system purges/wipes information from ac-7_prm_6 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] based on ac-7_prm_7 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] after ac-7_prm_8 INSERT into ac-7..2. [NO PARAMETER VALUE GIVEN] consecutive, unsuccessful device logon attempts.

Supplemental guidance

This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf MP-5: MEDIA TRANSPORT

cf MP-6: MEDIA SANITIZATION

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;

[2]	the organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;

[3]	the organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and

[4]	the information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.

Assessment: EXAMINE

Access control policy

procedures addressing unsuccessful login attempts on mobile devices

information system design documentation

information system configuration settings and associated documentation

list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts

list of purging/wiping requirements or techniques for mobile devices

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing access control policy for unsuccessful device logon attempts

References: None

AC-8 SYSTEM USE NOTIFICATION

Label: INSERT into ac-8_smt_a (AC-8a.)

Parameter: ac-8_prm_1 organization-defined system use notification message or banner

Label: INSERT into ac-8_smt_c.1 (AC-8c.1.)

Parameter: ac-8_prm_2 organization-defined conditions

Control

The information system:

Displays to users ac-8_prm_1 INSERT into ac-8_smt_a (AC-8a.) [NO PARAMETER VALUE GIVEN] before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:

1.	Users are accessing a U.S. Government information system;

2.	Information system usage may be monitored, recorded, and subject to audit;

3.	Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and

4.	Use of the information system indicates consent to monitoring and recording;

b.	Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and

For publicly accessible systems:

1.	Displays system use information ac-8_prm_2 INSERT into ac-8_smt_c.1 (AC-8c.1.) [NO PARAMETER VALUE GIVEN] , before granting further access;

2.	Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

3.	Includes a description of the authorized uses of the system.

Supplemental guidance

System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

Objectives

Determine if:

(a)

[1]	the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;

[2]

the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:

(1)	users are accessing a U.S. Government information system;

(2)	information system usage may be monitored, recorded, and subject to audit;

(3)	unauthorized use of the information system is prohibited and subject to criminal and civil penalties;

(4)	use of the information system indicates consent to monitoring and recording;

(b)	the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;

(c)

for publicly accessible systems:

(1)

[1]	the organization defines conditions for system use to be displayed by the information system before granting further access;

[2]	the information system displays organization-defined conditions before granting further access;

(2)	the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and

(3)	the information system includes a description of the authorized uses of the system.

Assessment: EXAMINE

Access control policy

privacy and security policies, procedures addressing system use notification

documented approval of information system use notification messages or banners

information system audit records

user acknowledgements of notification message or banner

information system design documentation

information system configuration settings and associated documentation

information system use notification messages

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for providing legal advice

system developers

Assessment: TEST

Automated mechanisms implementing system use notification

References: None

AC-9 PREVIOUS LOGON (ACCESS) NOTIFICATION

Control

The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

Supplemental guidance

This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).

cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS

cf PL-4: RULES OF BEHAVIOR

Objective

Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

Assessment: EXAMINE

Access control policy

procedures addressing previous logon notification

information system design documentation

information system configuration settings and associated documentation

information system notification messages

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for previous logon notification

Control enhancements

AC-9 (1) UNSUCCESSFUL LOGONS

Control

The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

Objective

Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

Assessment: EXAMINE

Access control policy

procedures addressing previous logon notification

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for previous logon notification

AC-9 (2) SUCCESSFUL / UNSUCCESSFUL LOGONS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

successful logons/accesses

unsuccessful logon/access attempts

both

Label: INSERT into ac-9..2.

Parameter: ac-9_prm_2 organization-defined time period

Control

The information system notifies the user of the number of ac-9_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } successful logons/accesses unsuccessful logon/access attempts both [NO PARAMETER VALUE GIVEN] during ac-9_prm_2 INSERT into ac-9..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]

the organization defines the time period within which the information system must notify the user of the number of:

[a]	successful logons/accesses; and/or

[b]	unsuccessful logon/access attempts;

[2]

the information system, during the organization-defined time period, notifies the user of the number of:

[a]	successful logons/accesses; and/or

[b]	unsuccessful logon/access attempts.

Assessment: EXAMINE

Access control policy

procedures addressing previous logon notification

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for previous logon notification

AC-9 (3) NOTIFICATION OF ACCOUNT CHANGES

Label: INSERT into ac-9..3.

Parameter: ac-9_prm_3 organization-defined security-related characteristics/parameters of the user’s account

Label: INSERT into ac-9..3.

Parameter: ac-9_prm_4 organization-defined time period

Control

The information system notifies the user of changes to ac-9_prm_3 INSERT into ac-9..3. [NO PARAMETER VALUE GIVEN] during ac-9_prm_4 INSERT into ac-9..3. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the organization defines security-related characteristics/parameters of a user’s account;

[2]	the organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and

[3]	the information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.

Assessment: EXAMINE

Access control policy

procedures addressing previous logon notification

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for previous logon notification

AC-9 (4) ADDITIONAL LOGON INFORMATION

Label: INSERT into ac-9..4.

Parameter: ac-9_prm_5 organization-defined information to be included in addition to the date and time of the last logon (access)

Control

The information system notifies the user, upon successful logon (access), of the following additional information: ac-9_prm_5 INSERT into ac-9..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.

Objectives

Determine if:

[1]	the organization defines information to be included in addition to the date and time of the last logon (access); and

[2]	the information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).

Assessment: EXAMINE

Access control policy

procedures addressing previous logon notification

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for previous logon notification

References: None

AC-10 CONCURRENT SESSION CONTROL

Label: INSERT into ac-10

Parameter: ac-10_prm_1 organization-defined account and/or account type

Label: INSERT into ac-10

Parameter: ac-10_prm_2 organization-defined number

Control

The information system limits the number of concurrent sessions for each ac-10_prm_1 INSERT into ac-10 [NO PARAMETER VALUE GIVEN] to ac-10_prm_2 INSERT into ac-10 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.

Objectives

Determine if:

[1]	the organization defines account and/or account types for the information system;

[2]	the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and

[3]	the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.

Assessment: EXAMINE

Access control policy

procedures addressing concurrent session control

information system design documentation

information system configuration settings and associated documentation

security plan

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for concurrent session control

References: None

AC-11 SESSION LOCK

Label: INSERT into ac-11_smt_a (AC-11a.)

Parameter: ac-11_prm_1 organization-defined time period

Control

The information system:

a.	Prevents further access to the system by initiating a session lock after ac-11_prm_1 INSERT into ac-11_smt_a (AC-11a.) [NO PARAMETER VALUE GIVEN] of inactivity or upon receiving a request from a user; and

b.	Retains the session lock until the user reestablishes access using established identification and authentication procedures.

Supplemental guidance

Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.

cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS

Objectives

Determine if:

(a)

[1]	the organization defines the time period of user inactivity after which the information system initiates a session lock;

[2]	the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and

(b)	the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.

Assessment: EXAMINE

Access control policy

procedures addressing session lock

procedures addressing identification and authentication

information system design documentation

information system configuration settings and associated documentation

security plan

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access control policy for session lock

Control enhancements

AC-11 (1) PATTERN-HIDING DISPLAYS

Control

The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.

Supplemental guidance

Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.

Objective

Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.

Assessment: EXAMINE

Access control policy

procedures addressing session lock

display screen with session lock activated

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Information system session lock mechanisms

References

cf OMB Memorandum 06-16

AC-12 SESSION TERMINATION

Label: INSERT into ac-12

Parameter: ac-12_prm_1 organization-defined conditions or trigger events requiring session disconnect

Control

The information system automatically terminates a user session after ac-12_prm_1 INSERT into ac-12 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.

cf SC-10: NETWORK DISCONNECT

cf SC-23: SESSION AUTHENTICITY

Objectives

Determine if:

[1]	the organization defines conditions or trigger events requiring session disconnect; and

[2]	the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.

Assessment: EXAMINE

Access control policy

procedures addressing session termination

information system design documentation

information system configuration settings and associated documentation

list of conditions or trigger events requiring session disconnect

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing user session termination

Control enhancements

AC-12 (1) USER-INITIATED LOGOUTS / MESSAGE DISPLAYS

Label: INSERT into ac-12..1._smt_a (AC-12 (1)(a))

Parameter: ac-12_prm_2 organization-defined information resources

Control

The information system:

(a)	Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to ac-12_prm_2 INSERT into ac-12..1._smt_a (AC-12 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

Supplemental guidance

Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.

Objectives

Determine if:

(a)

[1]	the organization defines information resources for which user authentication is required to gain access to such resources;

[2]	the information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and

(b)	the information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

Assessment: EXAMINE

Access control policy

procedures addressing session termination

user logout messages

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Information system session lock mechanisms

References: None

AC-13 SUPERVISION AND REVIEW - ACCESS CONTROL

cf AC-2: ACCOUNT MANAGEMENT

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Control

Withdrawn: Incorporated into AC-2 and AU-6.

References: None

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Label: INSERT into ac-14_smt_a (AC-14a.)

Parameter: ac-14_prm_1 organization-defined user actions

Control

The organization:

a.	Identifies ac-14_prm_1 INSERT into ac-14_smt_a (AC-14a.) [NO PARAMETER VALUE GIVEN] that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

b.	Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

Supplemental guidance

This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.

cf CP-2: CONTINGENCY PLAN

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Objectives

Determine if the organization:

(a)

[1]	defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;

[2]	identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and

(b)	documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.

Assessment: EXAMINE

Access control policy

procedures addressing permitted actions without identification or authentication

information system configuration settings and associated documentation

security plan

list of user actions that can be performed without identification or authentication

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Control enhancements

AC-14 (1) NECESSARY USES

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Control

Withdrawn: Incorporated into AC-14.

References: None

AC-15 AUTOMATED MARKING

cf MP-3: MEDIA MARKING

Control

Withdrawn: Incorporated into MP-3.

References: None

AC-16 SECURITY ATTRIBUTES

Label: INSERT into ac-16_smt_a (AC-16a.)

Parameter: ac-16_prm_1 organization-defined types of security attributes

Label: INSERT into ac-16_smt_a (AC-16a.)

Parameter: ac-16_prm_2 organization-defined security attribute values

Label: INSERT into ac-16_smt_c (AC-16c.)

Parameter: ac-16_prm_3 organization-defined security attributes

Label: INSERT into ac-16_smt_c (AC-16c.)

Parameter: ac-16_prm_4 organization-defined information systems

Label: INSERT into ac-16_smt_d (AC-16d.)

Parameter: ac-16_prm_5 organization-defined values or ranges

Control

The organization:

a.	Provides the means to associate ac-16_prm_1 INSERT into ac-16_smt_a (AC-16a.) [NO PARAMETER VALUE GIVEN] having ac-16_prm_2 INSERT into ac-16_smt_a (AC-16a.) [NO PARAMETER VALUE GIVEN] with information in storage, in process, and/or in transmission;

b.	Ensures that the security attribute associations are made and retained with the information;

c.	Establishes the permitted ac-16_prm_3 INSERT into ac-16_smt_c (AC-16c.) [NO PARAMETER VALUE GIVEN] for ac-16_prm_4 INSERT into ac-16_smt_c (AC-16c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Determines the permitted ac-16_prm_5 INSERT into ac-16_smt_d (AC-16d.) [NO PARAMETER VALUE GIVEN] for each of the established security attributes.

Supplemental guidance

Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf AC-21: INFORMATION SHARING

cf AU-2: AUDIT EVENTS

cf AU-10: NON-REPUDIATION

cf SC-16: TRANSMISSION OF SECURITY ATTRIBUTES

cf MP-3: MEDIA MARKING

Objectives

Determine if the organization:

(a)

[1]

defines types of security attributes to be associated with information:

[a]	in storage;

[b]	in process; and/or

[c]	in transmission;

[2]	defines security attribute values for organization-defined types of security attributes;

[3]

provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:

[a]	in storage;

[b]	in process; and/or

[c]	in transmission;

(b)	ensures that the security attribute associations are made and retained with the information;

(c)

[1]	defines information systems for which the permitted organization-defined security attributes are to be established;

[2]	defines security attributes that are permitted for organization-defined information systems;

[3]	establishes the permitted organization-defined security attributes for organization-defined information systems;

(d)

[1]	defines values or ranges for each of the established security attributes; and

[2]	determines the permitted organization-defined values or ranges for each of the established security attributes.

Assessment: EXAMINE

Access control policy

procedures addressing the association of security attributes to information in storage, in process, and in transmission

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Organizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission

Control enhancements

AC-16 (1) DYNAMIC ATTRIBUTE ASSOCIATION

Label: INSERT into ac-16..1.

Parameter: ac-16_prm_6 organization-defined subjects and objects

Label: INSERT into ac-16..1.

Parameter: ac-16_prm_7 organization-defined security policies

Control

The information system dynamically associates security attributes with ac-16_prm_6 INSERT into ac-16..1. [NO PARAMETER VALUE GIVEN] in accordance with ac-16_prm_7 INSERT into ac-16..1. [NO PARAMETER VALUE GIVEN] as information is created and combined.

Supplemental guidance

Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.

cf AC-4: INFORMATION FLOW ENFORCEMENT

Objectives

Determine if:

[1]	the organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;

[2]	the organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and

[3]	the information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.

Assessment: EXAMINE

Access control policy

procedures addressing dynamic association of security attributes to information

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing dynamic association of security attributes to information

AC-16 (2) ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS

Control

The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.

Supplemental guidance

The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.

cf AC-6: LEAST PRIVILEGE

cf AU-2: AUDIT EVENTS

Objective

Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes.

Assessment: EXAMINE

Access control policy

procedures addressing the change of security attribute values

information system design documentation

information system configuration settings and associated documentation

list of individuals authorized to change security attributes

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for changing values of security attributes

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms permitting changes to values of security attributes

AC-16 (3) MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM

Label: INSERT into ac-16..3.

Parameter: ac-16_prm_8 organization-defined security attributes

Label: INSERT into ac-16..3.

Parameter: ac-16_prm_9 organization-defined subjects and objects

Control

The information system maintains the association and integrity of ac-16_prm_8 INSERT into ac-16..3. [NO PARAMETER VALUE GIVEN] to ac-16_prm_9 INSERT into ac-16..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.

Objectives

Determine if:

[1]	the organization defines security attributes to be associated with organization-defined subjects and objects;

[2]	the organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and

[3]	the information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.

Assessment: EXAMINE

Access control policy

procedures addressing the association of security attributes to information

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms maintaining association and integrity of security attributes to information

AC-16 (4) ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS

Label: INSERT into ac-16..4.

Parameter: ac-16_prm_10 organization-defined security attributes

Label: INSERT into ac-16..4.

Parameter: ac-16_prm_11 organization-defined subjects and objects

Control

The information system supports the association of ac-16_prm_10 INSERT into ac-16..4. [NO PARAMETER VALUE GIVEN] with ac-16_prm_11 INSERT into ac-16..4. [NO PARAMETER VALUE GIVEN] by authorized individuals (or processes acting on behalf of individuals).

Supplemental guidance

The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.

Objectives

Determine if:

[1]	the organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);

[2]	the organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and

[3]	the information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).

Assessment: EXAMINE

Access control policy

procedures addressing the association of security attributes to information

information system design documentation

information system configuration settings and associated documentation

list of users authorized to associate security attributes to information

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for associating security attributes to information

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms supporting user associations of security attributes to information

AC-16 (5) ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES

Label: INSERT into ac-16..5.

Parameter: ac-16_prm_12 organization-identified special dissemination, handling, or distribution instructions

Label: INSERT into ac-16..5.

Parameter: ac-16_prm_13 organization-identified human-readable, standard naming conventions

Control

The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify ac-16_prm_12 INSERT into ac-16..5. [NO PARAMETER VALUE GIVEN] using ac-16_prm_13 INSERT into ac-16..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.

Objectives

Determine if:

[1]	the organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;

[2]	the organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and

[3]

the information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.

Assessment: EXAMINE

Access control policy

procedures addressing display of security attributes in human-readable form

special dissemination, handling, or distribution instructions

types of human-readable, standard naming conventions

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system developers

Assessment: TEST

System output devices displaying security attributes in human-readable form on each object

AC-16 (6) MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION

Label: INSERT into ac-16..6.

Parameter: ac-16_prm_14 organization-defined security attributes

Label: INSERT into ac-16..6.

Parameter: ac-16_prm_15 organization-defined subjects and objects

Label: INSERT into ac-16..6.

Parameter: ac-16_prm_16 organization-defined security policies

Control

The organization allows personnel to associate, and maintain the association of ac-16_prm_14 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] with ac-16_prm_15 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] in accordance with ac-16_prm_16 INSERT into ac-16..6. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.

Objectives

Determine if the organization:

[1]	defines security attributes to be associated with subjects and objects;

[2]	defines subjects and objects to be associated with organization-defined security attributes;

[3]	defines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and

[4]	allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.

Assessment: EXAMINE

Access control policy

procedures addressing association of security attributes with subjects and objects

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms supporting associations of security attributes to subjects and objects

AC-16 (7) CONSISTENT ATTRIBUTE INTERPRETATION

Control

The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.

Supplemental guidance

In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.

Objective

Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components.

Assessment: EXAMINE

Access control policy

procedures addressing consistent interpretation of security attributes transmitted between distributed information system components

procedures addressing access enforcement

procedures addressing information flow enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement and information flow enforcement functions

AC-16 (8) ASSOCIATION TECHNIQUES / TECHNOLOGIES

Label: INSERT into ac-16..8.

Parameter: ac-16_prm_17 organization-defined techniques or technologies

Label: INSERT into ac-16..8.

Parameter: ac-16_prm_18 organization-defined level of assurance

Control

The information system implements ac-16_prm_17 INSERT into ac-16..8. [NO PARAMETER VALUE GIVEN] with ac-16_prm_18 INSERT into ac-16..8. [NO PARAMETER VALUE GIVEN] in associating security attributes to information.

Supplemental guidance

The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

Objectives

Determine if:

[1]	the organization defines techniques or technologies to be implemented in associating security attributes to information;

[2]	the organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and

[3]	the information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.

Assessment: EXAMINE

Access control policy

procedures addressing association of security attributes to information

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for associating security attributes to information

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing techniques or technologies associating security attributes to information

AC-16 (9) ATTRIBUTE REASSIGNMENT

Label: INSERT into ac-16..9.

Parameter: ac-16_prm_19 organization-defined techniques or procedures

Control

The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using ac-16_prm_19 INSERT into ac-16..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.

Objectives

Determine if the organization:

[1]	defines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and

[2]	ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.

Assessment: EXAMINE

Access control policy

procedures addressing reassignment of security attributes to information

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for reassigning association of security attributes to information

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing techniques or procedures for reassigning association of security attributes to information

AC-16 (10) ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS

Control

The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.

Supplemental guidance

Objective

Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.

Assessment: EXAMINE

Access control policy

procedures addressing configuration of security attributes by authorized individuals

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining or changing security attributes associated with information

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing capability for defining or changing security attributes

References: None

AC-17 REMOTE ACCESS

Control

The organization:

a.	Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and

b.	Authorizes remote access to the information system prior to allowing such connections.

Supplemental guidance

Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf CA-3: SYSTEM INTERCONNECTIONS

cf CA-7: CONTINUOUS MONITORING

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf MA-4: NONLOCAL MAINTENANCE

cf PE-17: ALTERNATE WORK SITE

cf PL-4: RULES OF BEHAVIOR

cf SC-10: NETWORK DISCONNECT

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	identifies the types of remote access allowed to the information system;

[2]

establishes for each type of remote access allowed:

[a]	usage restrictions;

[b]	configuration/connection requirements;

[c]	implementation guidance;

[3]

documents for each type of remote access allowed:

[a]	usage restrictions;

[b]	configuration/connection requirements;

[c]	implementation guidance; and

(b)	authorizes remote access to the information system prior to allowing such connections.

Assessment: EXAMINE

Access control policy

procedures addressing remote access implementation and usage (including restrictions)

configuration management plan

security plan

information system configuration settings and associated documentation

remote access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing remote access connections

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Remote access management capability for the information system

Control enhancements

AC-17 (1) AUTOMATED MONITORING / CONTROL

Control

The information system monitors and controls remote access methods.

Supplemental guidance

Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

Objective

Determine if the information system monitors and controls remote access methods.

Assessment: EXAMINE

Access control policy

procedures addressing remote access to the information system

information system design documentation

information system configuration settings and associated documentation

information system audit records

information system monitoring records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms monitoring and controlling remote access methods

AC-17 (2) PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION

Control

The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Supplemental guidance

The encryption strength of mechanism is selected based on the security categorization of the information.

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objective

Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Assessment: EXAMINE

Access control policy

procedures addressing remote access to the information system

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated configuration documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions

AC-17 (3) MANAGED ACCESS CONTROL POINTS

Label: INSERT into ac-17..3.

Parameter: ac-17_prm_1 organization-defined number

Control

The information system routes all remote accesses through ac-17_prm_1 INSERT into ac-17..3. [NO PARAMETER VALUE GIVEN] managed network access control points.

Supplemental guidance

Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if:

[1]	the organization defines the number of managed network access control points through which all remote accesses are to be routed; and

[2]	the information system routes all remote accesses through the organization-defined number of managed network access control points.

Assessment: EXAMINE

Access control policy

procedures addressing remote access to the information system

information system design documentation

list of all managed network access control points

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms routing all remote accesses through managed network access control points

AC-17 (4) PRIVILEGED COMMANDS / ACCESS

Label: INSERT into ac-17..4._smt_a (AC-17 (4)(a))

Parameter: ac-17_prm_2 organization-defined needs

Control

The organization:

(a)	Authorizes the execution of privileged commands and access to security-relevant information via remote access only for ac-17_prm_2 INSERT into ac-17..4._smt_a (AC-17 (4)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Documents the rationale for such access in the security plan for the information system.

Supplemental guidance

cf AC-6: LEAST PRIVILEGE

Objectives

Determine if the organization:

(a)

[1]	defines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;

[2]	authorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and

(b)	documents the rationale for such access in the information system security plan.

Assessment: EXAMINE

Access control policy

procedures addressing remote access to the information system

information system configuration settings and associated documentation

security plan

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing remote access management

AC-17 (5) MONITORING FOR UNAUTHORIZED CONNECTIONS

cf SI-4: INFORMATION SYSTEM MONITORING

Control

Withdrawn: Incorporated into SI-4.

AC-17 (6) PROTECTION OF INFORMATION

Control

The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.

Supplemental guidance

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf PS-6: ACCESS AGREEMENTS

Objective

Determine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.

Assessment: EXAMINE

Access control policy

procedures addressing remote access to the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for implementing or monitoring remote access to the information system

information system users with knowledge of information about remote access mechanisms

organizational personnel with information security responsibilities

AC-17 (7) ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS

cf AC-3 (10): AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS

Control

Withdrawn: Incorporated into AC-3 (10).

AC-17 (8) DISABLE NONSECURE NETWORK PROTOCOLS

cf CM-7: LEAST FUNCTIONALITY

Control

Withdrawn: Incorporated into CM-7.

AC-17 (9) DISCONNECT / DISABLE ACCESS

Label: INSERT into ac-17..9.

Parameter: ac-17_prm_3 organization-defined time period

Control

The organization provides the capability to expeditiously disconnect or disable remote access to the information system within ac-17_prm_3 INSERT into ac-17..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.

Objectives

Determine if the organization:

[1]	defines the time period within which to expeditiously disconnect or disable remote access to the information system; and

[2]	provides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.

Assessment: EXAMINE

Access control policy

procedures addressing disconnecting or disabling remote access to the information system

information system design documentation

information system configuration settings and associated documentation

security plan, information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing capability to disconnect or disable remote access to information system

References

cf NIST Special Publication 800-46

cf NIST Special Publication 800-77

cf NIST Special Publication 800-113

cf NIST Special Publication 800-114

cf NIST Special Publication 800-121

AC-18 WIRELESS ACCESS

Control

The organization:

a.	Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and

b.	Authorizes wireless access to the information system prior to allowing such connections.

Supplemental guidance

Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-17: REMOTE ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CA-3: SYSTEM INTERCONNECTIONS

cf CA-7: CONTINUOUS MONITORING

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf PL-4: RULES OF BEHAVIOR

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

establishes for wireless access:

[1]	usage restrictions;

[2]	configuration/connection requirement;

[3]	implementation guidance; and

(b)	authorizes wireless access to the information system prior to allowing such connections.

Assessment: EXAMINE

Access control policy

procedures addressing wireless access implementation and usage (including restrictions)

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

wireless access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing wireless access connections

organizational personnel with information security responsibilities

Assessment: TEST

Wireless access management capability for the information system

Control enhancements

AC-18 (1) AUTHENTICATION AND ENCRYPTION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

users

devices

Control

The information system protects wireless access to the system using authentication of ac-18_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } users devices [NO PARAMETER VALUE GIVEN] and encryption.

Supplemental guidance

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the information system protects wireless access to the system using encryption and one or more of the following:

[1]	authentication of users; and/or

[2]	authentication of devices.

Assessment: EXAMINE

Access control policy

procedures addressing wireless implementation and usage (including restrictions)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing wireless access protections to the information system

AC-18 (2) MONITORING UNAUTHORIZED CONNECTIONS

cf SI-4: INFORMATION SYSTEM MONITORING

Control

Withdrawn: Incorporated into SI-4.

AC-18 (3) DISABLE WIRELESS NETWORKING

Control

The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.

Supplemental guidance

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

Objective

Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.

Assessment: EXAMINE

Access control policy

procedures addressing wireless implementation and usage (including restrictions)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components

AC-18 (4) RESTRICT CONFIGURATIONS BY USERS

Control

The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.

Supplemental guidance

Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.

cf AC-3: ACCESS ENFORCEMENT

cf SC-15: COLLABORATIVE COMPUTING DEVICES

Objectives

Determine if the organization:

[1]	identifies users allowed to independently configure wireless networking capabilities; and

[2]	explicitly authorizes the identified users allowed to independently configure wireless networking capabilities.

Assessment: EXAMINE

Access control policy

procedures addressing wireless implementation and usage (including restrictions)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms authorizing independent user configuration of wireless networking capabilities

AC-18 (5) ANTENNAS / TRANSMISSION POWER LEVELS

Control

The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.

Supplemental guidance

Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.

cf PE-19: INFORMATION LEAKAGE

Objectives

Determine if the organization:

[1]	selects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and

[2]	calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.

Assessment: EXAMINE

Access control policy

procedures addressing wireless implementation and usage (including restrictions)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Wireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries

References

cf NIST Special Publication 800-48

cf NIST Special Publication 800-94

cf NIST Special Publication 800-97

AC-19 ACCESS CONTROL FOR MOBILE DEVICES

Control

The organization:

a.	Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and

b.	Authorizes the connection of mobile devices to organizational information systems.

Supplemental guidance

A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

cf AC-3: ACCESS ENFORCEMENT

cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS

cf AC-18: WIRELESS ACCESS

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf CA-9: INTERNAL SYSTEM CONNECTIONS

cf CM-2: BASELINE CONFIGURATION

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf PL-4: RULES OF BEHAVIOR

cf SC-7: BOUNDARY PROTECTION

cf SC-43: USAGE RESTRICTIONS

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

establishes for organization-controlled mobile devices:

[1]	usage restrictions;

[2]	configuration/connection requirement;

[3]	implementation guidance; and

(b)	authorizes the connection of mobile devices to organizational information systems.

Assessment: EXAMINE

Access control policy

procedures addressing access control for mobile device usage (including restrictions)

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

authorizations for mobile device connections to organizational information systems

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel using mobile devices to access organizational information systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Access control capability authorizing mobile device connections to organizational information systems

Control enhancements

AC-19 (1) USE OF WRITABLE / PORTABLE STORAGE DEVICES

cf MP-7: MEDIA USE

Control

Withdrawn: Incorporated into MP-7.

AC-19 (2) USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES

cf MP-7: MEDIA USE

Control

Withdrawn: Incorporated into MP-7.

AC-19 (3) USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER

cf MP-7: MEDIA USE

Control

Withdrawn: Incorporated into MP-7.

AC-19 (4) RESTRICTIONS FOR CLASSIFIED INFORMATION

Label: INSERT into ac-19..4._smt_b.4 (AC-19 (4)(b)(4))

Parameter: ac-19_prm_1 organization-defined security officials

Label: INSERT into ac-19..4._smt_c (AC-19 (4)(c))

Parameter: ac-19_prm_2 organization-defined security policies

Control

The organization:

(a)	Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and

(b)

Enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:

(1)	Connection of unclassified mobile devices to classified information systems is prohibited;

(2)	Connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;

(3)	Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

(4)	Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by ac-19_prm_1 INSERT into ac-19..4._smt_b.4 (AC-19 (4)(b)(4)) [NO PARAMETER VALUE GIVEN] , and if classified information is found, the incident handling policy is followed.

(c)	Restricts the connection of classified mobile devices to classified information systems in accordance with ac-19_prm_2 INSERT into ac-19..4._smt_c (AC-19 (4)(c)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf CA-6: SECURITY AUTHORIZATION

cf IR-4: INCIDENT HANDLING

Objectives

Determine if the organization:

(a)	prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;

(b)

enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:

(1)	connection of unclassified mobile devices to classified information systems is prohibited;

(2)	connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;

(3)	use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;

(4)

[1]	defines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;

[2]	unclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;

[3]	the incident handling policy is followed if classified information is found;

(c)

[1]	defines security policies to restrict the connection of classified mobile devices to classified information systems; and

[2]	restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.

Assessment: EXAMINE

Access control policy

incident handling policy

procedures addressing access control for mobile devices

information system design documentation

information system configuration settings and associated documentation

evidentiary documentation for random inspections and reviews of mobile devices

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel responsible for random reviews/inspections of mobile devices

organizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information

organizational personnel with incident response responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices

AC-19 (5) FULL DEVICE / CONTAINER-BASED ENCRYPTION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

full-device encryption

container encryption

Label: INSERT into ac-19..5.

Parameter: ac-19_prm_4 organization-defined mobile devices

Control

The organization employs ac-19_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } full-device encryption container encryption [NO PARAMETER VALUE GIVEN] to protect the confidentiality and integrity of information on ac-19_prm_4 INSERT into ac-19..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.

cf MP-5: MEDIA TRANSPORT

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-28: PROTECTION OF INFORMATION AT REST

Objectives

Determine if the organization:

[1]	defines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and

[2]	employs full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.

Assessment: EXAMINE

Access control policy

procedures addressing access control for mobile devices

information system design documentation

information system configuration settings and associated documentation

encryption mechanism s and associated configuration documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access control responsibilities for mobile devices

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Encryption mechanisms protecting confidentiality and integrity of information on mobile devices

References

cf OMB Memorandum 06-16

cf NIST Special Publication 800-114

cf NIST Special Publication 800-124

cf NIST Special Publication 800-164

AC-20 USE OF EXTERNAL INFORMATION SYSTEMS

Control

The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

a.	Access the information system from external information systems; and

b.	Process, store, or transmit organization-controlled information using external information systems.

Supplemental guidance

External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

cf AC-3: ACCESS ENFORCEMENT

cf AC-17: REMOTE ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CA-3: SYSTEM INTERCONNECTIONS

cf PL-4: RULES OF BEHAVIOR

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

Objectives

Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:

(a)	access the information system from the external information systems; and

(b)	process, store, or transmit organization-controlled information using external information systems.

Assessment: EXAMINE

Access control policy

procedures addressing the use of external information systems

external information systems terms and conditions

list of types of applications accessible from external information systems

maximum security categorization for information processed, stored, or transmitted on external information systems

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing terms and conditions on use of external information systems

Control enhancements

AC-20 (1) LIMITS ON AUTHORIZED USE

Control

The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:

(a)	Verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or

(b)	Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.

Supplemental guidance

This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

cf CA-2: SECURITY ASSESSMENTS

Objectives

Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:

(a)	verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or

(b)	retains approved information system connection or processing agreements with the organizational entity hosting the external information system.

Assessment: EXAMINE

Access control policy

procedures addressing the use of external information systems

security plan

information system connection or processing agreements

account management documents

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing limits on use of external information systems

AC-20 (2) PORTABLE STORAGE DEVICES

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

restricts

prohibits

Control

The organization ac-20_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of organization-controlled portable storage devices by authorized individuals on external information systems.

Supplemental guidance

Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.

Objective

Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems.

Assessment: EXAMINE

Access control policy

procedures addressing the use of external information systems

security plan

information system configuration settings and associated documentation

information system connection or processing agreements

account management documents

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing restrictions on use of portable storage devices

AC-20 (3) NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

restricts

prohibits

Control

The organization ac-20_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.

Supplemental guidance

Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.

Objective

Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.

Assessment: EXAMINE

Access control policy

procedures addressing the use of external information systems

security plan

information system design documentation

information system configuration settings and associated documentation

information system connection or processing agreements

account management documents

information system audit records, other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices

AC-20 (4) NETWORK ACCESSIBLE STORAGE DEVICES

Label: INSERT into ac-20..4.

Parameter: ac-20_prm_3 organization-defined network accessible storage devices

Control

The organization prohibits the use of ac-20_prm_3 INSERT into ac-20..4. [NO PARAMETER VALUE GIVEN] in external information systems.

Supplemental guidance

Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.

Objectives

Determine if the organization:

[1]	defines network accessible storage devices to be prohibited from use in external information systems; and

[2]	prohibits the use of organization-defined network accessible storage devices in external information systems.

Assessment: EXAMINE

Access control policy

procedures addressing use of network accessible storage devices in external information systems

security plan, information system design documentation

information system configuration settings and associated documentation

information system connection or processing agreements

list of network accessible storage devices prohibited from use in external information systems

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms prohibiting the use of network accessible storage devices in external information systems

References

cf FIPS Publication 199

AC-21 INFORMATION SHARING

Label: INSERT into ac-21_smt_a (AC-21a.)

Parameter: ac-21_prm_1 organization-defined information sharing circumstances where user discretion is required

Label: INSERT into ac-21_smt_b (AC-21b.)

Parameter: ac-21_prm_2 organization-defined automated mechanisms or manual processes

Control

The organization:

a.	Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for ac-21_prm_1 INSERT into ac-21_smt_a (AC-21a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Employs ac-21_prm_2 INSERT into ac-21_smt_b (AC-21b.) [NO PARAMETER VALUE GIVEN] to assist users in making information sharing/collaboration decisions.

Supplemental guidance

This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.

cf AC-3: ACCESS ENFORCEMENT

Objectives

Determine if the organization:

(a)

[1]	defines information sharing circumstances where user discretion is required;

[2]	facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;

(b)

[1]	defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and

[2]	employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.

Assessment: EXAMINE

Access control policy

procedures addressing user-based collaboration and information sharing (including restrictions)

information system design documentation

information system configuration settings and associated documentation

list of users authorized to make information sharing/collaboration decisions

list of information sharing circumstances requiring user discretion

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel responsible for making information sharing/collaboration decisions

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions

Control enhancements

AC-21 (1) AUTOMATED DECISION SUPPORT

Control

The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

Objectives

Determine if the information system enforces information-sharing decisions by authorized users based on:

[1]	access authorizations of sharing partners; and

[2]	access restrictions on information to be shared.

Assessment: EXAMINE

Access control policy

procedures addressing user-based collaboration and information sharing (including restrictions)

information system design documentation

information system configuration settings and associated documentation

system-generated list of users authorized to make information sharing/collaboration decisions

system-generated list of sharing partners and access authorizations

system-generated list of access restrictions regarding information to be shared

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions

AC-21 (2) INFORMATION SEARCH AND RETRIEVAL

Label: INSERT into ac-21..2.

Parameter: ac-21_prm_3 organization-defined information sharing restrictions

Control

The information system implements information search and retrieval services that enforce ac-21_prm_3 INSERT into ac-21..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the organization defines information sharing restrictions to be enforced through information search and retrieval services; and

[2]	the information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.

Assessment: EXAMINE

Access control policy

procedures addressing user-based collaboration and information sharing (including restrictions)

information system design documentation

information system configuration settings and associated documentation

system-generated list of access restrictions regarding information to be shared

information search and retrieval records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities for information system search and retrieval services

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Information system search and retrieval services enforcing information sharing restrictions

References: None

AC-22 PUBLICLY ACCESSIBLE CONTENT

Label: INSERT into ac-22_smt_d (AC-22d.)

Parameter: ac-22_prm_1 organization-defined frequency

Control

The organization:

a.	Designates individuals authorized to post information onto a publicly accessible information system;

b.	Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

c.	Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and

d.	Reviews the content on the publicly accessible information system for nonpublic information ac-22_prm_1 INSERT into ac-22_smt_d (AC-22d.) [NO PARAMETER VALUE GIVEN] and removes such information, if discovered.

Supplemental guidance

In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf AU-13: MONITORING FOR INFORMATION DISCLOSURE

Objectives

Determine if the organization:

(a)	designates individuals authorized to post information onto a publicly accessible information system;

(b)	trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;

(c)	reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;

(d)

[1]	defines the frequency to review the content on the publicly accessible information system for nonpublic information;

[2]	reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and

[3]	removes nonpublic information from the publicly accessible information system, if discovered.

Assessment: EXAMINE

Access control policy

procedures addressing publicly accessible content

list of users authorized to post publicly accessible content on organizational information systems

training materials and/or records

records of publicly accessible information reviews

records of response to nonpublic information on public websites

system audit logs

security awareness training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing management of publicly accessible content

References: None

AC-23 DATA MINING PROTECTION

Label: INSERT into ac-23

Parameter: ac-23_prm_1 organization-defined data mining prevention and detection techniques

Label: INSERT into ac-23

Parameter: ac-23_prm_2 organization-defined data storage objects

Control

The organization employs ac-23_prm_1 INSERT into ac-23 [NO PARAMETER VALUE GIVEN] for ac-23_prm_2 INSERT into ac-23 [NO PARAMETER VALUE GIVEN] to adequately detect and protect against data mining.

Supplemental guidance

Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.

Objectives

Determine if the organization:

[1]	defines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;

[2]	defines data storage objects to be protected from data mining; and

[3]	employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.

Assessment: EXAMINE

Access control policy

procedures addressing data mining techniques

procedures addressing protection of data storage objects against data mining

information system design documentation

information system configuration settings and associated documentation

information system audit logs

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing data mining prevention and detection

References: None

AC-24 ACCESS CONTROL DECISIONS

Label: INSERT into ac-24

Parameter: ac-24_prm_1 organization-defined access control decisions

Control

The organization establishes procedures to ensure ac-24_prm_1 INSERT into ac-24 [NO PARAMETER VALUE GIVEN] are applied to each access request prior to access enforcement.

Supplemental guidance

Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.

Objectives

Determine if the organization:

[1]	defines access control decisions to be applied to each access request prior to access control enforcement; and

[2]	establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.

Assessment: EXAMINE

Access control policy

procedures addressing access control decisions

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms applying established access control decisions and procedures

Control enhancements

AC-24 (1) TRANSMIT ACCESS AUTHORIZATION INFORMATION

Label: INSERT into ac-24..1.

Parameter: ac-24_prm_2 organization-defined access authorization information

Label: INSERT into ac-24..1.

Parameter: ac-24_prm_3 organization-defined security safeguards

Label: INSERT into ac-24..1.

Parameter: ac-24_prm_4 organization-defined information systems

Control

The information system transmits ac-24_prm_2 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] using ac-24_prm_3 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] to ac-24_prm_4 INSERT into ac-24..1. [NO PARAMETER VALUE GIVEN] that enforce access control decisions.

Supplemental guidance

In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.

Objectives

Determine if:

[1]	the organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;

[2]	the organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;

[3]	the organization defines the information systems that enforce access control decisions; and

[4]	the information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement functions

AC-24 (2) NO USER OR PROCESS IDENTITY

Label: INSERT into ac-24..2.

Parameter: ac-24_prm_5 organization-defined security attributes

Control

The information system enforces access control decisions based on ac-24_prm_5 INSERT into ac-24..2. [NO PARAMETER VALUE GIVEN] that do not include the identity of the user or process acting on behalf of the user.

Supplemental guidance

In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.

Objectives

Determine if:

[1]	the organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and

[2]	the information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement functions

References: None

AC-25 REFERENCE MONITOR

Label: INSERT into ac-25

Parameter: ac-25_prm_1 organization-defined access control policies

Control

The information system implements a reference monitor for ac-25_prm_1 INSERT into ac-25 [NO PARAMETER VALUE GIVEN] that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

Supplemental guidance

cf AC-3: ACCESS ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

cf SC-3: SECURITY FUNCTION ISOLATION

cf SC-39: PROCESS ISOLATION

Objectives

Determine if:

[1]	the organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and

[2]	the information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.

Assessment: EXAMINE

Access control policy

procedures addressing access enforcement

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access enforcement responsibilities

system/network administrators

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Automated mechanisms implementing access enforcement functions

References: None

AWARENESS AND TRAINING

AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES

Label: INSERT into at-1_smt_a (AT-1a.)

Parameter: at-1_prm_1 organization-defined personnel or roles

Label: INSERT into at-1_smt_b.1 (AT-1b.1.)

Parameter: at-1_prm_2 organization-defined frequency

Label: INSERT into at-1_smt_b.2 (AT-1b.2.)

Parameter: at-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to at-1_prm_1 INSERT into at-1_smt_a (AT-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and

Reviews and updates the current:

1.	Security awareness and training policy at-1_prm_2 INSERT into at-1_smt_b.1 (AT-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Security awareness and training procedures at-1_prm_3 INSERT into at-1_smt_b.2 (AT-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an security awareness and training policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the security awareness and training policy are to be disseminated;

[3]	disseminates the security awareness and training policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current security awareness and training policy;

[2]	reviews and updates the current security awareness and training policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current security awareness and training procedures; and

[2]	reviews and updates the current security awareness and training procedures with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security awareness and training responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-16

cf NIST Special Publication 800-50

cf NIST Special Publication 800-100

AT-2 SECURITY AWARENESS TRAINING

Label: INSERT into at-2_smt_c (AT-2c.)

Parameter: at-2_prm_1 organization-defined frequency

Control

The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):

a.	As part of initial training for new users;

b.	When required by information system changes; and

c.	at-2_prm_1 INSERT into at-2_smt_c (AT-2c.) [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf AT-4: SECURITY TRAINING RECORDS

cf PL-4: RULES OF BEHAVIOR

Objectives

Determine if the organization:

(a)	provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;

(b)	provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and

(c)

[1]	defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and

[2]	provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

appropriate codes of federal regulations

security awareness training curriculum

security awareness training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for security awareness training

organizational personnel with information security responsibilities

organizational personnel comprising the general information system user community

Assessment: TEST

Automated mechanisms managing security awareness training

Control enhancements

AT-2 (1) PRACTICAL EXERCISES

Control

The organization includes practical exercises in security awareness training that simulate actual cyber attacks.

Supplemental guidance

Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf CP-4: CONTINGENCY PLAN TESTING

cf IR-3: INCIDENT RESPONSE TESTING

Objective

Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

security awareness training curriculum

security awareness training materials

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel that participate in security awareness training

organizational personnel with responsibilities for security awareness training

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing cyber attack simulations in practical exercises

AT-2 (2) INSIDER THREAT

Control

The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

Supplemental guidance

Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.

cf PL-4: RULES OF BEHAVIOR

cf PM-12: INSIDER THREAT PROGRAM

cf PS-3: PERSONNEL SCREENING

cf PS-6: ACCESS AGREEMENTS

Objective

Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

security awareness training curriculum

security awareness training materials

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel that participate in security awareness training

organizational personnel with responsibilities for basic security awareness training

organizational personnel with information security responsibilities

References

cf C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)

cf Executive Order 13587

cf NIST Special Publication 800-50

AT-3 ROLE-BASED SECURITY TRAINING

Label: INSERT into at-3_smt_c (AT-3c.)

Parameter: at-3_prm_1 organization-defined frequency

Control

The organization provides role-based security training to personnel with assigned security roles and responsibilities:

a.	Before authorizing access to the information system or performing assigned duties;

b.	When required by information system changes; and

c.	at-3_prm_1 INSERT into at-3_smt_c (AT-3c.) [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-4: SECURITY TRAINING RECORDS

cf PL-4: RULES OF BEHAVIOR

cf PS-7: THIRD-PARTY PERSONNEL SECURITY

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-12: SUPPLY CHAIN PROTECTION

cf SA-16: DEVELOPER-PROVIDED TRAINING

Objectives

Determine if the organization:

(a)	provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;

(b)	provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and

(c)

[1]	defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and

[2]	provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training implementation

codes of federal regulations

security training curriculum

security training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel with assigned information system security roles and responsibilities

Assessment: TEST

Automated mechanisms managing role-based security training

Control enhancements

AT-3 (1) ENVIRONMENTAL CONTROLS

Label: INSERT into at-3..1.

Parameter: at-3_prm_2 organization-defined personnel or roles

Label: INSERT into at-3..1.

Parameter: at-3_prm_3 organization-defined frequency

Control

The organization provides at-3_prm_2 INSERT into at-3..1. [NO PARAMETER VALUE GIVEN] with initial and at-3_prm_3 INSERT into at-3..1. [NO PARAMETER VALUE GIVEN] training in the employment and operation of environmental controls.

Supplemental guidance

Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.

cf PE-1: PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

cf PE-13: FIRE PROTECTION

cf PE-14: TEMPERATURE AND HUMIDITY CONTROLS

cf PE-15: WATER DAMAGE PROTECTION

Objectives

Determine if the organization:

[1]	defines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;

[2]	provides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;

[3]	defines the frequency to provide refresher training in the employment and operation of environmental controls; and

[4]	provides refresher training in the employment and operation of environmental controls with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training implementation

security training curriculum

security training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel with responsibilities for employing and operating environmental controls

AT-3 (2) PHYSICAL SECURITY CONTROLS

Label: INSERT into at-3..2.

Parameter: at-3_prm_4 organization-defined personnel or roles

Label: INSERT into at-3..2.

Parameter: at-3_prm_5 organization-defined frequency

Control

The organization provides at-3_prm_4 INSERT into at-3..2. [NO PARAMETER VALUE GIVEN] with initial and at-3_prm_5 INSERT into at-3..2. [NO PARAMETER VALUE GIVEN] training in the employment and operation of physical security controls.

Supplemental guidance

Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PE-5: ACCESS CONTROL FOR OUTPUT DEVICES

Objectives

Determine if the organization:

[1]	defines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;

[2]	provides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;

[3]	defines the frequency to provide refresher training in the employment and operation of physical security controls; and

[4]	provides refresher training in the employment and operation of physical security controls with the organization-defined frequency.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training implementation

security training curriculum

security training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel with responsibilities for employing and operating physical security controls

AT-3 (3) PRACTICAL EXERCISES

Control

The organization includes practical exercises in security training that reinforce training objectives.

Supplemental guidance

Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.

Objective

Determine if the organization includes practical exercises in security training that reinforce training objectives.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security awareness training implementation

security awareness training curriculum

security awareness training materials

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel that participate in security awareness training

AT-3 (4) SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR

Label: INSERT into at-3..4.

Parameter: at-3_prm_6 organization-defined indicators of malicious code

Control

The organization provides training to its personnel on at-3_prm_6 INSERT into at-3..4. [NO PARAMETER VALUE GIVEN] to recognize suspicious communications and anomalous behavior in organizational information systems.

Supplemental guidance

A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.

Objectives

Determine if the organization:

[1]	defines indicators of malicious code; and

[2]	provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training implementation

security training curriculum

security training materials

security plan

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for role-based security training

organizational personnel that participate in security awareness training

References

cf C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)

cf NIST Special Publication 800-16

cf NIST Special Publication 800-50

AT-4 SECURITY TRAINING RECORDS

Label: INSERT into at-4_smt_b (AT-4b.)

Parameter: at-4_prm_1 organization-defined time period

Control

The organization:

a.	Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and

b.	Retains individual training records for at-4_prm_1 INSERT into at-4_smt_b (AT-4b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Documentation for specialized training may be maintained by individual supervisors at the option of the organization.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf PM-14: TESTING, TRAINING, AND MONITORING

Objectives

Determine if the organization:

(a)

[1]

documents individual information system security training activities including:

[a]	basic security awareness training;

[b]	specific role-based information system security training;

[2]

monitors individual information system security training activities including:

[a]	basic security awareness training;

[b]	specific role-based information system security training;

(b)

[1]	defines a time period to retain individual training records; and

[2]	retains individual training records for the organization-defined time period.

Assessment: EXAMINE

Security awareness and training policy

procedures addressing security training records

security awareness and training records

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security training record retention responsibilities

Assessment: TEST

Automated mechanisms supporting management of security training records

References: None

AT-5 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

cf PM-15: CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

Control

Withdrawn: Incorporated into PM-15.

References: None

AUDIT AND ACCOUNTABILITY

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Label: INSERT into au-1_smt_a (AU-1a.)

Parameter: au-1_prm_1 organization-defined personnel or roles

Label: INSERT into au-1_smt_b.1 (AU-1b.1.)

Parameter: au-1_prm_2 organization-defined frequency

Label: INSERT into au-1_smt_b.2 (AU-1b.2.)

Parameter: au-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to au-1_prm_1 INSERT into au-1_smt_a (AU-1a.) [NO PARAMETER VALUE GIVEN] :

1.	An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and

Reviews and updates the current:

1.	Audit and accountability policy au-1_prm_2 INSERT into au-1_smt_b.1 (AU-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Audit and accountability procedures au-1_prm_3 INSERT into au-1_smt_b.2 (AU-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an audit and accountability policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the audit and accountability policy are to be disseminated;

[3]	disseminates the audit and accountability policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current audit and accountability policy;

[2]	reviews and updates the current audit and accountability policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current audit and accountability procedures; and

[2]	reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

AU-2 AUDIT EVENTS

Label: INSERT into au-2_smt_a (AU-2a.)

Parameter: au-2_prm_1 organization-defined auditable events

Label: INSERT into au-2_smt_d (AU-2d.)

Parameter: au-2_prm_2 organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event

Control

The organization:

a.	Determines that the information system is capable of auditing the following events: au-2_prm_1 INSERT into au-2_smt_a (AU-2a.) [NO PARAMETER VALUE GIVEN] ;

b.	Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

c.	Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and

d.	Determines that the following events are to be audited within the information system: au-2_prm_2 INSERT into au-2_smt_d (AU-2d.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.

cf AC-6: LEAST PRIVILEGE

cf AC-17: REMOTE ACCESS

cf AU-3: CONTENT OF AUDIT RECORDS

cf AU-12: AUDIT GENERATION

cf MA-4: NONLOCAL MAINTENANCE

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines the auditable events that the information system must be capable of auditing;

[2]	determines that the information system is capable of auditing organization-defined auditable events;

(b)	coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;

(c)	provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;

(d)

[1]	defines the subset of auditable events defined in AU-2a that are to be audited within the information system;

[2]	determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and

[3]	determines the frequency of (or situation requiring) auditing for each identified event.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing auditable events

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

information system auditable events

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing information system auditing

Control enhancements

AU-2 (1) COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES

cf AU-12: AUDIT GENERATION

Control

Withdrawn: Incorporated into AU-12.

AU-2 (2) SELECTION OF AUDIT EVENTS BY COMPONENT

cf AU-12: AUDIT GENERATION

Control

Withdrawn: Incorporated into AU-12.

AU-2 (3) REVIEWS AND UPDATES

Label: INSERT into au-2..3.

Parameter: au-2_prm_3 organization-defined frequency

Control

The organization reviews and updates the audited events au-2_prm_3 INSERT into au-2..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.

Objectives

Determine if the organization:

[1]	defines the frequency to review and update the audited events; and

[2]	reviews and updates the auditable events with organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing auditable events

security plan

list of organization-defined auditable events

auditable events review and update records

information system audit records

information system incident reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting review and update of auditable events

AU-2 (4) PRIVILEGED FUNCTIONS

cf AC-6 (9): AUDITING USE OF PRIVILEGED FUNCTIONS

Control

Withdrawn: Incorporated into AC-6 (9).

References

cf NIST Special Publication 800-92

cf http://idmanagement.gov

AU-3 CONTENT OF AUDIT RECORDS

Control

The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.

Supplemental guidance

Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).

cf AU-2: AUDIT EVENTS

cf AU-8: TIME STAMPS

cf AU-12: AUDIT GENERATION

cf SI-11: ERROR HANDLING

Objectives

Determine if the information system generates audit records containing information that establishes:

[1]	what type of event occurred;

[2]	when the event occurred;

[3]	where the event occurred;

[4]	the source of the event;

[5]	the outcome of the event; and

[6]	the identity of any individuals or subjects associated with the event.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing content of audit records

information system design documentation

information system configuration settings and associated documentation

list of organization-defined auditable events

information system audit records

information system incident reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing information system auditing of auditable events

Control enhancements

AU-3 (1) ADDITIONAL AUDIT INFORMATION

Label: INSERT into au-3..1.

Parameter: au-3_prm_1 organization-defined additional, more detailed information

Control

The information system generates audit records containing the following additional information: au-3_prm_1 INSERT into au-3..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.

Objectives

Determine if:

[1]	the organization defines additional, more detailed information to be contained in audit records that the information system generates; and

[2]	the information system generates audit records containing the organization-defined additional, more detailed information.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing content of audit records

information system design documentation

information system configuration settings and associated documentation

list of organization-defined auditable events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Information system audit capability

AU-3 (2) CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT

Label: INSERT into au-3..2.

Parameter: au-3_prm_2 organization-defined information system components

Control

The information system provides centralized management and configuration of the content to be captured in audit records generated by au-3_prm_2 INSERT into au-3..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

Objectives

Determine if:

[1]	the organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and

[2]	the information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing content of audit records

information system design documentation

information system configuration settings and associated documentation

list of organization-defined auditable events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Information system capability implementing centralized management and configuration of audit record content

References: None

AU-4 AUDIT STORAGE CAPACITY

Label: INSERT into au-4

Parameter: au-4_prm_1 organization-defined audit record storage requirements

Control

The organization allocates audit record storage capacity in accordance with au-4_prm_1 INSERT into au-4 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.

cf AU-2: AUDIT EVENTS

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf AU-11: AUDIT RECORD RETENTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines audit record storage requirements; and

[2]	allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit storage capacity

information system design documentation

information system configuration settings and associated documentation

audit record storage requirements

audit record storage capability for information system components

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Audit record storage capacity and related configuration settings

Control enhancements

AU-4 (1) TRANSFER TO ALTERNATE STORAGE

Label: INSERT into au-4..1.

Parameter: au-4_prm_2 organization-defined frequency

Control

The information system off-loads audit records au-4_prm_2 INSERT into au-4..1. [NO PARAMETER VALUE GIVEN] onto a different system or media than the system being audited.

Supplemental guidance

Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.

Objectives

Determine if:

[1]	the organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and

[2]	the information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit storage capacity

procedures addressing transfer of information system audit records to secondary or alternate systems

information system design documentation

information system configuration settings and associated documentation

logs of audit record transfers to secondary or alternate systems

information system audit records transferred to secondary or alternate systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit storage capacity planning responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting transfer of audit records onto a different system

References: None

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES

Label: INSERT into au-5_smt_a (AU-5a.)

Parameter: au-5_prm_1 organization-defined personnel or roles

Label: INSERT into au-5_smt_b (AU-5b.)

Parameter: au-5_prm_2 organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)

Control

The information system:

a.	Alerts au-5_prm_1 INSERT into au-5_smt_a (AU-5a.) [NO PARAMETER VALUE GIVEN] in the event of an audit processing failure; and

b.	Takes the following additional actions: au-5_prm_2 INSERT into au-5_smt_b (AU-5b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

cf AU-4: AUDIT STORAGE CAPACITY

cf SI-12: INFORMATION HANDLING AND RETENTION

Objectives

Determine if:

(a)

[1]	the organization defines the personnel or roles to be alerted in the event of an audit processing failure;

[2]	the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;

(b)

[1]	the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and

[2]	the information system takes the additional organization-defined actions in the event of an audit processing failure.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

list of personnel to be notified in case of an audit processing failure

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing information system response to audit processing failures

Control enhancements

AU-5 (1) AUDIT STORAGE CAPACITY

Label: INSERT into au-5..1.

Parameter: au-5_prm_3 organization-defined personnel, roles, and/or locations

Label: INSERT into au-5..1.

Parameter: au-5_prm_4 organization-defined time period

Label: INSERT into au-5..1.

Parameter: au-5_prm_5 organization-defined percentage

Control

The information system provides a warning to au-5_prm_3 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] within au-5_prm_4 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] when allocated audit record storage volume reaches au-5_prm_5 INSERT into au-5..1. [NO PARAMETER VALUE GIVEN] of repository maximum audit record storage capacity.

Supplemental guidance

Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.

Objectives

Determine if:

[1]

the organization defines:

[a]	personnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;

[b]	roles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or

[c]	locations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;

[2]

the organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;

[3]	the organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and

[4]	the information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit storage limit warnings

AU-5 (2) REAL-TIME ALERTS

Label: INSERT into au-5..2.

Parameter: au-5_prm_6 organization-defined real-time period

Label: INSERT into au-5..2.

Parameter: au-5_prm_7 organization-defined personnel, roles, and/or locations

Label: INSERT into au-5..2.

Parameter: au-5_prm_8 organization-defined audit failure events requiring real-time alerts

Control

The information system provides an alert in au-5_prm_6 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] to au-5_prm_7 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] when the following audit failure events occur: au-5_prm_8 INSERT into au-5..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).

Objectives

Determine if:

[1]	the organization defines audit failure events requiring real-time alerts;

[2]

the organization defines:

[a]	personnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;

[b]	roles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or

[c]	locations to be alerted when organization-defined audit failure events requiring real-time alerts occur;

[3]	the organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and

[4]	the information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

records of notifications or real-time alerts when audit processing failures occur

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur

AU-5 (3) CONFIGURABLE TRAFFIC VOLUME THRESHOLDS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

rejects

delays

Control

The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and au-5_prm_9 SELECT for { ancestor-or-self::*[@id][1]/@id } rejects delays [NO PARAMETER VALUE GIVEN] network traffic above those thresholds.

Supplemental guidance

Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.

Objectives

Determine if:

[1]	the information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;

[2]

the organization selects if network traffic above configurable traffic volume thresholds is to be:

[a]	rejected; or

[b]	delayed; and

[3]	the information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

configuration of network communications traffic volume thresholds

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Information system capability implementing configurable traffic volume thresholds

AU-5 (4) SHUTDOWN ON FAILURE

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

full system shutdown

partial system shutdown

degraded operational mode with limited mission/business functionality available

Label: INSERT into au-5..4.

Parameter: au-5_prm_11 organization-defined audit failures

Control

The information system invokes a au-5_prm_10 SELECT for { ancestor-or-self::*[@id][1]/@id } full system shutdown partial system shutdown degraded operational mode with limited mission/business functionality available [NO PARAMETER VALUE GIVEN] in the event of au-5_prm_11 INSERT into au-5..4. [NO PARAMETER VALUE GIVEN] , unless an alternate audit capability exists.

Supplemental guidance

Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

cf AU-15: ALTERNATE AUDIT CAPABILITY

Objectives

Determine if:

[1]

the organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:

[a]	full system shutdown;

[b]	partial system shutdown; or

[c]	degraded operational mode with limited mission/business functionality available;

[2]	the organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and

[3]	the information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing response to audit processing failures

information system design documentation

security plan

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Information system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure

References: None

AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING

Label: INSERT into au-6_smt_a (AU-6a.)

Parameter: au-6_prm_1 organization-defined frequency

Label: INSERT into au-6_smt_a (AU-6a.)

Parameter: au-6_prm_2 organization-defined inappropriate or unusual activity

Label: INSERT into au-6_smt_b (AU-6b.)

Parameter: au-6_prm_3 organization-defined personnel or roles

Control

The organization:

a.	Reviews and analyzes information system audit records au-6_prm_1 INSERT into au-6_smt_a (AU-6a.) [NO PARAMETER VALUE GIVEN] for indications of au-6_prm_2 INSERT into au-6_smt_a (AU-6a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Reports findings to au-6_prm_3 INSERT into au-6_smt_b (AU-6b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf AC-17: REMOTE ACCESS

cf AT-3: ROLE-BASED SECURITY TRAINING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf AU-16: CROSS-ORGANIZATIONAL AUDITING

cf CA-7: CONTINUOUS MONITORING

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-10: SOFTWARE USAGE RESTRICTIONS

cf CM-11: USER-INSTALLED SOFTWARE

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-5: AUTHENTICATOR MANAGEMENT

cf IR-5: INCIDENT MONITORING

cf IR-6: INCIDENT REPORTING

cf MA-4: NONLOCAL MAINTENANCE

cf MP-4: MEDIA STORAGE

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-6: MONITORING PHYSICAL ACCESS

cf PE-14: TEMPERATURE AND HUMIDITY CONTROLS

cf PE-16: DELIVERY AND REMOVAL

cf RA-5: VULNERABILITY SCANNING

cf SC-7: BOUNDARY PROTECTION

cf SC-18: MOBILE CODE

cf SC-19: VOICE OVER INTERNET PROTOCOL

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)

[1]	defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;

[2]	defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;

[3]	reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;

(b)

[1]	defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and

[2]	reports findings to organization-defined personnel or roles.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

reports of audit findings

records of actions taken in response to reviews/analyses of audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Control enhancements

AU-6 (1) PROCESS INTEGRATION

Control

The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.

Supplemental guidance

Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.

cf AU-12: AUDIT GENERATION

cf PM-7: ENTERPRISE ARCHITECTURE

Objectives

Determine if the organization:

[1]

employs automated mechanisms to integrate:

[a]	audit review;

[b]

analysis;

[c]	reporting processes;

[2]

uses integrated audit review, analysis and reporting processes to support organizational processes for:

[a]	investigation of suspicious activities; and

[b]	response to suspicious activities.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

procedures addressing investigation and response to suspicious activities

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms integrating audit review, analysis, and reporting processes

AU-6 (2) AUTOMATED SECURITY ALERTS

cf SI-4: INFORMATION SYSTEM MONITORING

Control

Withdrawn: Incorporated into SI-4.

AU-6 (3) CORRELATE AUDIT REPOSITORIES

Control

The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.

Supplemental guidance

Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.

cf AU-12: AUDIT GENERATION

cf IR-4: INCIDENT HANDLING

Objective

Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

information system design documentation

information system configuration settings and associated documentation

information system audit records across different repositories

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting analysis and correlation of audit records

AU-6 (4) CENTRAL REVIEW AND ANALYSIS

Control

The information system provides the capability to centrally review and analyze audit records from multiple components within the system.

Supplemental guidance

Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

Objective

Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

information system design documentation

information system configuration settings and associated documentation

security plan

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Information system capability to centralize review and analysis of audit records

AU-6 (5) INTEGRATION / SCANNING AND MONITORING CAPABILITIES

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

vulnerability scanning information

performance data

information system monitoring information

au-6_prm_5 INSERT into au-6..5. [NO PARAMETER VALUE GIVEN]

Label: INSERT into au-6..5.

Parameter: au-6_prm_5 organization-defined data/information collected from other sources

Control

The organization integrates analysis of audit records with analysis of au-6_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } vulnerability scanning information performance data information system monitoring information [NO PARAMETER VALUE GIVEN] to further enhance the ability to identify inappropriate or unusual activity.

Supplemental guidance

This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.

cf AU-12: AUDIT GENERATION

cf IR-4: INCIDENT HANDLING

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

[1]	defines data/information to be collected from other sources;

[2]

selects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:

[a]	vulnerability scanning information;

[b]	performance data;

[c]	information system monitoring information; and/or

[d]	organization-defined data/information collected from other sources; and

[3]	integrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

information system design documentation

information system configuration settings and associated documentation

integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources

AU-6 (6) CORRELATION WITH PHYSICAL MONITORING

Control

The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

Supplemental guidance

The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.

Objective

Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

procedures addressing physical access monitoring

information system design documentation

information system configuration settings and associated documentation

documentation providing evidence of correlated information obtained from audit records and physical access monitoring records

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with physical access monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access

AU-6 (7) PERMITTED ACTIONS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

information system process

role

user

Control

The organization specifies the permitted actions for each au-6_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } information system process role user [NO PARAMETER VALUE GIVEN] associated with the review, analysis, and reporting of audit information.

Supplemental guidance

Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.

Objectives

Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:

[1]	information system process;

[2]	role; and/or

[3]

user.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information

AU-6 (8) FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS

Control

The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.

Supplemental guidance

This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.

cf AU-3: CONTENT OF AUDIT RECORDS

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf AU-11: AUDIT RECORD RETENTION

cf AU-12: AUDIT GENERATION

Objectives

Determine if the organization performs a full text analysis of audited privileged commands in:

[1]	a physically distinct component or subsystem of the information system; or

[2]	other information system that is dedicated to that analysis.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

information system design documentation

information system configuration settings and associated documentation

text analysis tools and techniques

text analysis documentation of audited privileged commands

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands

AU-6 (9) CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES

Control

The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.

Supplemental guidance

Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.

cf AT-2: SECURITY AWARENESS TRAINING

Objective

Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

information system design documentation

information system configuration settings and associated documentation

documentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources

list of information types from nontechnical sources for correlation with audit information

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing capability to correlate information from non-technical sources

AU-6 (10) AUDIT LEVEL ADJUSTMENT

Control

The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.

Supplemental guidance

The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

Objectives

Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:

[1]	law enforcement information;

[2]	intelligence information; and/or

[3]	other credible sources of information.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit review, analysis, and reporting

organizational risk assessment

security control assessment

vulnerability assessment

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit review, analysis, and reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting review, analysis, and reporting of audit information

References: None

AU-7 AUDIT REDUCTION AND REPORT GENERATION

Control

The information system provides an audit reduction and report generation capability that:

a.	Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and

b.	Does not alter the original content or time ordering of audit records.

Supplemental guidance

Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objectives

Determine if the information system provides an audit reduction and report generation capability that supports:

(a)

[1]	on-demand audit review;

[2]

analysis;

[3]	reporting requirements;

[4]	after-the-fact investigations of security incidents; and

(b)	does not alter the original content or time ordering of audit records.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit reduction and report generation

information system design documentation

information system configuration settings and associated documentation

audit reduction, review, analysis, and reporting tools

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit reduction and report generation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Audit reduction and report generation capability

Control enhancements

AU-7 (1) AUTOMATIC PROCESSING

Label: INSERT into au-7..1.

Parameter: au-7_prm_1 organization-defined audit fields within audit records

Control

The information system provides the capability to process audit records for events of interest based on au-7_prm_1 INSERT into au-7..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

Objectives

Determine if:

[1]	the organization defines audit fields within audit records in order to process audit records for events of interest; and

[2]	the information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit reduction and report generation

information system design documentation

information system configuration settings and associated documentation

audit reduction, review, analysis, and reporting tools

audit record criteria (fields) establishing events of interest

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit reduction and report generation responsibilities

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Audit reduction and report generation capability

AU-7 (2) AUTOMATIC SORT AND SEARCH

Label: INSERT into au-7..2.

Parameter: au-7_prm_2 organization-defined audit fields within audit records

Control

The information system provides the capability to sort and search audit records for events of interest based on the content of au-7_prm_2 INSERT into au-7..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.

Objectives

Determine if:

[1]	the organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and

[2]	the information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit reduction and report generation

information system design documentation

information system configuration settings and associated documentation

audit reduction, review, analysis, and reporting tools

audit record criteria (fields) establishing events of interest

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit reduction and report generation responsibilities

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Audit reduction and report generation capability

References: None

AU-8 TIME STAMPS

Label: INSERT into au-8_smt_b (AU-8b.)

Parameter: au-8_prm_1 organization-defined granularity of time measurement

Control

The information system:

a.	Uses internal system clocks to generate time stamps for audit records; and

b.	Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets au-8_prm_1 INSERT into au-8_smt_b (AU-8b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.

cf AU-3: CONTENT OF AUDIT RECORDS

cf AU-12: AUDIT GENERATION

Objectives

Determine if:

(a)	the information system uses internal system clocks to generate time stamps for audit records;

(b)

[1]	the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);

[2]	the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and

[3]	the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing time stamp generation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing time stamp generation

Control enhancements

AU-8 (1) SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE

Label: INSERT into au-8..1._smt_a (AU-8 (1)(a))

Parameter: au-8_prm_2 organization-defined frequency

Label: INSERT into au-8..1._smt_a (AU-8 (1)(a))

Parameter: au-8_prm_3 organization-defined authoritative time source

Label: INSERT into au-8..1._smt_b (AU-8 (1)(b))

Parameter: au-8_prm_4 organization-defined time period

Control

The information system:

(a)	Compares the internal information system clocks au-8_prm_2 INSERT into au-8..1._smt_a (AU-8 (1)(a)) [NO PARAMETER VALUE GIVEN] with au-8_prm_3 INSERT into au-8..1._smt_a (AU-8 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than au-8_prm_4 INSERT into au-8..1._smt_b (AU-8 (1)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.

Objectives

Determine if:

(a)

[1]	the organization defines the authoritative time source to which internal information system clocks are to be compared;

[2]	the organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and

[3]	the information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and

(b)

[1]	the organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and

[2]	the information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing time stamp generation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing internal information system clock synchronization

AU-8 (2) SECONDARY AUTHORITATIVE TIME SOURCE

Control

The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.

Objective

Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing time stamp generation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing internal information system clock authoritative time sources

References: None

AU-9 PROTECTION OF AUDIT INFORMATION

Control

The information system protects audit information and audit tools from unauthorized access, modification, and deletion.

Supplemental guidance

Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-6: MONITORING PHYSICAL ACCESS

Objectives

Determine if:

[1]

the information system protects audit information from unauthorized:

[a]

access;

[b]	modification;

[c]

deletion;

[2]

the information system protects audit tools from unauthorized:

[a]

access;

[b]	modification; and

[c]

deletion.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, information system audit records

audit tools

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit information protection

Control enhancements

AU-9 (1) HARDWARE WRITE-ONCE MEDIA

Control

The information system writes audit trails to hardware-enforced, write-once media.

Supplemental guidance

This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.

cf AU-4: AUDIT STORAGE CAPACITY

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

Objective

Determine if the information system writes audit trails to hardware-enforced, write-once media.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system hardware settings

information system configuration settings and associated documentation

information system storage media

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Information system media storing audit trails

AU-9 (2) AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS

Label: INSERT into au-9..2.

Parameter: au-9_prm_1 organization-defined frequency

Control

The information system backs up audit records au-9_prm_1 INSERT into au-9..2. [NO PARAMETER VALUE GIVEN] onto a physically different system or system component than the system or component being audited.

Supplemental guidance

This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.

cf AU-4: AUDIT STORAGE CAPACITY

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf AU-11: AUDIT RECORD RETENTION

Objectives

Determine if:

[1]	the organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and

[2]	the information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, system or media storing backups of information system audit records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing the backing up of audit records

AU-9 (3) CRYPTOGRAPHIC PROTECTION

Control

The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.

Supplemental guidance

Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.

cf AU-10: NON-REPUDIATION

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the information system:

[1]	uses cryptographic mechanisms to protect the integrity of audit information; and

[2]	uses cryptographic mechanisms to protect the integrity of audit tools.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system hardware settings

information system configuration settings and associated documentation, information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Cryptographic mechanisms protecting integrity of audit information and tools

AU-9 (4) ACCESS BY SUBSET OF PRIVILEGED USERS

Label: INSERT into au-9..4.

Parameter: au-9_prm_2 organization-defined subset of privileged users

Control

The organization authorizes access to management of audit functionality to only au-9_prm_2 INSERT into au-9..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.

cf AC-5: SEPARATION OF DUTIES

Objectives

Determine if the organization:

[1]	defines a subset of privileged users to be authorized access to management of audit functionality; and

[2]	authorizes access to management of audit functionality to only the organization-defined subset of privileged users.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality

access authorizations

access control list

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms managing access to audit functionality

AU-9 (5) DUAL AUTHORIZATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

movement

deletion

Label: INSERT into au-9..5.

Parameter: au-9_prm_4 organization-defined audit information

Control

The organization enforces dual authorization for au-9_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } movement deletion [NO PARAMETER VALUE GIVEN] of au-9_prm_4 INSERT into au-9..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.

cf AC-3: ACCESS ENFORCEMENT

cf MP-2: MEDIA ACCESS

Objectives

Determine if the organization:

[1]	defines audit information for which dual authorization is to be enforced;

[2]

defines one or more of the following types of operations on audit information for which dual authorization is to be enforced:

[a]	movement; and/or

[b]	deletion; and

[3]	enforces dual authorization for the movement and/or deletion of organization-defined audit information.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, access authorizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing enforcement of dual authorization

AU-9 (6) READ ONLY ACCESS

Label: INSERT into au-9..6.

Parameter: au-9_prm_5 organization-defined subset of privileged users

Control

The organization authorizes read-only access to audit information to au-9_prm_5 INSERT into au-9..6. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).

Objectives

Determine if the organization:

[1]	defines the subset of privileged users to be authorized read-only access to audit information; and

[2]	authorizes read-only access to audit information to the organization-defined subset of privileged users.

Assessment: EXAMINE

Audit and accountability policy

access control policy and procedures

procedures addressing protection of audit information

information system design documentation

information system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information

access authorizations

access control list

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit and accountability responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms managing access to audit information

References: None

AU-10 NON-REPUDIATION

Label: INSERT into au-10

Parameter: au-10_prm_1 organization-defined actions to be covered by non-repudiation

Control

The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed au-10_prm_1 INSERT into au-10 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-16: TRANSMISSION OF SECURITY ATTRIBUTES

cf SC-17: PUBLIC KEY INFRASTRUCTURE CERTIFICATES

cf SC-23: SESSION AUTHENTICITY

Objectives

Determine if:

[1]	the organization defines actions to be covered by non-repudiation; and

[2]	the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

Control enhancements

AU-10 (1) ASSOCIATION OF IDENTITIES

Label: INSERT into au-10..1._smt_a (AU-10 (1)(a))

Parameter: au-10_prm_2 organization-defined strength of binding

Control

The information system:

(a)	Binds the identity of the information producer with the information to au-10_prm_2 INSERT into au-10..1._smt_a (AU-10 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Provides the means for authorized individuals to determine the identity of the producer of the information.

Supplemental guidance

This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

(a)

[1]	the organization defines the strength of binding to be employed between the identity of the information producer and the information;

[2]	the information system binds the identity of the information producer with the information to the organization-defined strength of binding; and

(b)	the information system provides the means for authorized individuals to determine the identity of the producer of the information.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

AU-10 (2) VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY

Label: INSERT into au-10..2._smt_a (AU-10 (2)(a))

Parameter: au-10_prm_3 organization-defined frequency

Label: INSERT into au-10..2._smt_b (AU-10 (2)(b))

Parameter: au-10_prm_4 organization-defined actions

Control

The information system:

(a)	Validates the binding of the information producer identity to the information at au-10_prm_3 INSERT into au-10..2._smt_a (AU-10 (2)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Performs au-10_prm_4 INSERT into au-10..2._smt_b (AU-10 (2)(b)) [NO PARAMETER VALUE GIVEN] in the event of a validation error.

Supplemental guidance

This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

(a)

[1]	the organization defines the frequency to validate the binding of the information producer identity to the information;

[2]	the information system validates the binding of the information producer identity to the information at the organization-defined frequency; and

(b)

[1]	the organization defines actions to be performed in the event of a validation error; and

[2]	the information system performs organization-defined actions in the event of a validation error.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

validation records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

AU-10 (3) CHAIN OF CUSTODY

Control

The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.

Supplemental guidance

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if the information system:

[1]	maintains reviewer/releaser identity within the established chain of custody for all information reviewed;

[2]	maintains reviewer/releaser identity within the established chain of custody for all information released;

[3]	maintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and

[4]	maintains reviewer/releaser credentials within the established chain of custody for all information released.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

records of information reviews and releases

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

AU-10 (4) VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY

Label: INSERT into au-10..4._smt_a (AU-10 (4)(a))

Parameter: au-10_prm_5 organization-defined security domains

Label: INSERT into au-10..4._smt_b (AU-10 (4)(b))

Parameter: au-10_prm_6 organization-defined actions

Control

The information system:

(a)	Validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between au-10_prm_5 INSERT into au-10..4._smt_a (AU-10 (4)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Performs au-10_prm_6 INSERT into au-10..4._smt_b (AU-10 (4)(b)) [NO PARAMETER VALUE GIVEN] in the event of a validation error.

Supplemental guidance

This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

(a)

[1]	the organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;

[2]	the information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;

(b)

[1]	the organization defines actions to be performed in the event of a validation error; and

[2]	the information system performs organization-defined actions in the event of a validation error.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing non-repudiation

information system design documentation

information system configuration settings and associated documentation

validation records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing non-repudiation capability

AU-10 (5) DIGITAL SIGNATURES

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Control

Withdrawn: Incorporated into SI-7.

References: None

AU-11 AUDIT RECORD RETENTION

Label: INSERT into au-11

Parameter: au-11_prm_1 organization-defined time period consistent with records retention policy

Control

The organization retains audit records for au-11_prm_1 INSERT into au-11 [NO PARAMETER VALUE GIVEN] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.

Supplemental guidance

Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.

cf AU-4: AUDIT STORAGE CAPACITY

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf MP-6: MEDIA SANITIZATION

Objectives

Determine if the organization:

[1]	defines a time period to retain audit records that is consistent with records retention policy;

[2]

retains audit records for the organization-defined time period consistent with records retention policy to:

[a]	provide support for after-the-fact investigations of security incidents; and

[b]	meet regulatory and organizational information retention requirements.

Assessment: EXAMINE

Audit and accountability policy

audit record retention policy and procedures

security plan

organization-defined retention period for audit records

audit record archives

audit logs

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record retention responsibilities

organizational personnel with information security responsibilities

system/network administrators

Control enhancements

AU-11 (1) LONG-TERM RETRIEVAL CAPABILITY

Label: INSERT into au-11..1.

Parameter: au-11_prm_2 organization-defined measures

Control

The organization employs au-11_prm_2 INSERT into au-11..1. [NO PARAMETER VALUE GIVEN] to ensure that long-term audit records generated by the information system can be retrieved.

Supplemental guidance

Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.

Objectives

Determine if the organization:

[1]	defines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and

[2]	employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.

Assessment: EXAMINE

Audit and accountability policy

audit record retention policy and procedures

information system design documentation

information system configuration settings and associated documentation

audit record archives

audit logs

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record retention responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing audit record retention capability

References: None

AU-12 AUDIT GENERATION

Label: INSERT into au-12_smt_a (AU-12a.)

Parameter: au-12_prm_1 organization-defined information system components

Label: INSERT into au-12_smt_b (AU-12b.)

Parameter: au-12_prm_2 organization-defined personnel or roles

Control

The information system:

a.	Provides audit record generation capability for the auditable events defined in AU-2 a. at au-12_prm_1 INSERT into au-12_smt_a (AU-12a.) [NO PARAMETER VALUE GIVEN] ;

b.	Allows au-12_prm_2 INSERT into au-12_smt_b (AU-12b.) [NO PARAMETER VALUE GIVEN] to select which auditable events are to be audited by specific components of the information system; and

c.	Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.

Supplemental guidance

Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.

cf AC-3: ACCESS ENFORCEMENT

cf AU-2: AUDIT EVENTS

cf AU-3: CONTENT OF AUDIT RECORDS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

Objectives

Determine if:

(a)

[1]	the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;

[2]	the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;

(b)

[1]	the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;

[2]	the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and

(c)	the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit record generation

security plan

information system design documentation

information system configuration settings and associated documentation

list of auditable events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record generation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit record generation capability

Control enhancements

AU-12 (1) SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL

Label: INSERT into au-12..1.

Parameter: au-12_prm_3 organization-defined information system components

Label: INSERT into au-12..1.

Parameter: au-12_prm_4 organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail

Control

The information system compiles audit records from au-12_prm_3 INSERT into au-12..1. [NO PARAMETER VALUE GIVEN] into a system-wide (logical or physical) audit trail that is time-correlated to within au-12_prm_4 INSERT into au-12..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.

cf AU-8: TIME STAMPS

cf AU-12: AUDIT GENERATION

Objectives

Determine if:

[1]	the organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;

[2]	the organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and

[3]

the information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit record generation

information system design documentation

information system configuration settings and associated documentation

system-wide audit trail (logical or physical)

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record generation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit record generation capability

AU-12 (2) STANDARDIZED FORMATS

Control

The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

Supplemental guidance

Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

Objective

Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit record generation

information system design documentation

information system configuration settings and associated documentation

system-wide audit trail (logical or physical)

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record generation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit record generation capability

AU-12 (3) CHANGES BY AUTHORIZED INDIVIDUALS

Label: INSERT into au-12..3.

Parameter: au-12_prm_5 organization-defined individuals or roles

Label: INSERT into au-12..3.

Parameter: au-12_prm_6 organization-defined information system components

Label: INSERT into au-12..3.

Parameter: au-12_prm_7 organization-defined selectable event criteria

Label: INSERT into au-12..3.

Parameter: au-12_prm_8 organization-defined time thresholds

Control

The information system provides the capability for au-12_prm_5 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] to change the auditing to be performed on au-12_prm_6 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] based on au-12_prm_7 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] within au-12_prm_8 INSERT into au-12..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

Objectives

Determine if:

[1]	the organization defines information system components on which auditing is to be performed;

[2]	the organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;

[3]	the organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;

[4]	the organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and

[5]	the information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing audit record generation

information system design documentation

information system configuration settings and associated documentation

system-generated list of individuals or roles authorized to change auditing to be performed

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with audit record generation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing audit record generation capability

References: None

AU-13 MONITORING FOR INFORMATION DISCLOSURE

Label: INSERT into au-13

Parameter: au-13_prm_1 organization-defined open source information and/or information sites

Label: INSERT into au-13

Parameter: au-13_prm_2 organization-defined frequency

Control

The organization monitors au-13_prm_1 INSERT into au-13 [NO PARAMETER VALUE GIVEN] au-13_prm_2 INSERT into au-13 [NO PARAMETER VALUE GIVEN] for evidence of unauthorized disclosure of organizational information.

Supplemental guidance

Open source information includes, for example, social networking sites.

cf PE-3: PHYSICAL ACCESS CONTROL

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

[1]	defines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;

[2]	defines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and

[3]	monitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing information disclosure monitoring

information system design documentation

information system configuration settings and associated documentation

monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for monitoring open source information and/or information sites

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing monitoring for information disclosure

Control enhancements

AU-13 (1) USE OF AUTOMATED TOOLS

Control

The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

Supplemental guidance

Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.

Objective

Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing information disclosure monitoring

information system design documentation

information system configuration settings and associated documentation

automated monitoring tools

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for monitoring information disclosures

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing monitoring for information disclosure

AU-13 (2) REVIEW OF MONITORED SITES

Label: INSERT into au-13..2.

Parameter: au-13_prm_3 organization-defined frequency

Control

The organization reviews the open source information sites being monitored au-13_prm_3 INSERT into au-13..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines a frequency to review the open source information sites being monitored; and

[2]	reviews the open source information sites being monitored with the organization-defined frequency.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing information disclosure monitoring

information system design documentation

information system configuration settings and associated documentation

reviews for open source information sites being monitored

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for monitoring open source information sites

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing monitoring for information disclosure

References: None

AU-14 SESSION AUDIT

Control

The information system provides the capability for authorized users to select a user session to capture/record or view/hear.

Supplemental guidance

Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.

cf AC-3: ACCESS ENFORCEMENT

cf AU-4: AUDIT STORAGE CAPACITY

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf AU-11: AUDIT RECORD RETENTION

Objectives

Determine if the information system provides the capability for authorized users to select a user session to:

[1]	capture/record; and/or

[2]	view/hear.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing user session auditing

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing user session auditing capability

Control enhancements

AU-14 (1) SYSTEM START-UP

Control

The information system initiates session audits at system start-up.

Objective

Determine if the information system initiates session audits at system start-up.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing user session auditing

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing user session auditing capability

AU-14 (2) CAPTURE/RECORD AND LOG CONTENT

Control

The information system provides the capability for authorized users to capture/record and log content related to a user session.

Objectives

Determine if the information system provides the capability for authorized users to:

[1]	capture/record content related to a user session; and

[2]	log content related to a user session.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing user session auditing

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing user session auditing capability

AU-14 (3) REMOTE VIEWING / LISTENING

Control

The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.

Objective

Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing user session auditing

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing user session auditing capability

References: None

AU-15 ALTERNATE AUDIT CAPABILITY

Label: INSERT into au-15

Parameter: au-15_prm_1 organization-defined alternate audit functionality

Control

The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides au-15_prm_1 INSERT into au-15 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

Objectives

Determine if the organization:

[1]	defines alternative audit functionality to be provided in the event of a failure in primary audit capability; and

[2]	provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing alternate audit capability

information system design documentation

information system configuration settings and associated documentation

test records for alternative audit capability

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel responsible for providing alternate audit capability

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing alternative audit capability

References: None

AU-16 CROSS-ORGANIZATIONAL AUDITING

Label: INSERT into au-16

Parameter: au-16_prm_1 organization-defined methods

Label: INSERT into au-16

Parameter: au-16_prm_2 organization-defined audit information

Control

The organization employs au-16_prm_1 INSERT into au-16 [NO PARAMETER VALUE GIVEN] for coordinating au-16_prm_2 INSERT into au-16 [NO PARAMETER VALUE GIVEN] among external organizations when audit information is transmitted across organizational boundaries.

Supplemental guidance

When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objectives

Determine if the organization:

[1]	defines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;

[2]	defines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and

[3]	employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing methods for coordinating audit information among external organizations

information system design documentation

information system configuration settings and associated documentation

methods for coordinating audit information among external organizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for coordinating audit information among external organizations

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing cross-organizational auditing (if applicable)

Control enhancements

AU-16 (1) IDENTITY PRESERVATION

Control

The organization requires that the identity of individuals be preserved in cross-organizational audit trails.

Supplemental guidance

This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

Objective

Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing cross-organizational audit trails

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with cross-organizational audit responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing cross-organizational auditing (if applicable)

AU-16 (2) SHARING OF AUDIT INFORMATION

Label: INSERT into au-16..2.

Parameter: au-16_prm_3 organization-defined organizations

Label: INSERT into au-16..2.

Parameter: au-16_prm_4 organization-defined cross-organizational sharing agreements

Control

The organization provides cross-organizational audit information to au-16_prm_3 INSERT into au-16..2. [NO PARAMETER VALUE GIVEN] based on au-16_prm_4 INSERT into au-16..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.

Objectives

Determine if the organization:

[1]	defines organizations with whom cross-organizational audit information is to be shared;

[2]	defines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and

[3]	provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.

Assessment: EXAMINE

Audit and accountability policy

procedures addressing cross-organizational sharing of audit information

cross-organizational sharing agreements

data sharing agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for sharing cross-organizational audit information

organizational personnel with information security responsibilities

References: None

SECURITY ASSESSMENT AND AUTHORIZATION

CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES

Label: INSERT into ca-1_smt_a (CA-1a.)

Parameter: ca-1_prm_1 organization-defined personnel or roles

Label: INSERT into ca-1_smt_b.1 (CA-1b.1.)

Parameter: ca-1_prm_2 organization-defined frequency

Label: INSERT into ca-1_smt_b.2 (CA-1b.2.)

Parameter: ca-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ca-1_prm_1 INSERT into ca-1_smt_a (CA-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and

Reviews and updates the current:

1.	Security assessment and authorization policy ca-1_prm_2 INSERT into ca-1_smt_b.1 (CA-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Security assessment and authorization procedures ca-1_prm_3 INSERT into ca-1_smt_b.2 (CA-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a security assessment and authorization policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;

[3]	disseminates the security assessment and authorization policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current security assessment and authorization policy;

[2]	reviews and updates the current security assessment and authorization policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current security assessment and authorization procedures; and

[2]	reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment and authorization responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-37

cf NIST Special Publication 800-53A

cf NIST Special Publication 800-100

CA-2 SECURITY ASSESSMENTS

Label: INSERT into ca-2_smt_b (CA-2b.)

Parameter: ca-2_prm_1 organization-defined frequency

Label: INSERT into ca-2_smt_d (CA-2d.)

Parameter: ca-2_prm_2 organization-defined individuals or roles

Control

The organization:

Develops a security assessment plan that describes the scope of the assessment including:

1.	Security controls and control enhancements under assessment;

2.	Assessment procedures to be used to determine security control effectiveness; and

3.	Assessment environment, assessment team, and assessment roles and responsibilities;

Assesses the security controls in the information system and its environment of operation ca-2_prm_1 INSERT into ca-2_smt_b (CA-2b.) [NO PARAMETER VALUE GIVEN] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

c.	Produces a security assessment report that documents the results of the assessment; and

d.	Provides the results of the security control assessment to ca-2_prm_2 INSERT into ca-2_smt_d (CA-2d.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.

cf CA-5: PLAN OF ACTION AND MILESTONES

cf CA-6: SECURITY AUTHORIZATION

cf CA-7: CONTINUOUS MONITORING

cf PM-9: RISK MANAGEMENT STRATEGY

cf RA-5: VULNERABILITY SCANNING

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

develops a security assessment plan that describes the scope of the assessment including:

(1)	security controls and control enhancements under assessment;

(2)	assessment procedures to be used to determine security control effectiveness;

(3)

[1]	assessment environment;

[2]	assessment team;

[3]	assessment roles and responsibilities;

(b)

[1]	defines the frequency to assess the security controls in the information system and its environment of operation;

[2]	assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;

(c)	produces a security assessment report that documents the results of the assessment;

(d)

[1]	defines individuals or roles to whom the results of the security control assessment are to be provided; and

[2]	provides the results of the security control assessment to organization-defined individuals or roles.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security assessment planning

procedures addressing security assessments

security assessment plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting

Control enhancements

CA-2 (1) INDEPENDENT ASSESSORS

Label: INSERT into ca-2..1.

Parameter: ca-2_prm_3 organization-defined level of independence

Control

The organization employs assessors or assessment teams with ca-2_prm_3 INSERT into ca-2..1. [NO PARAMETER VALUE GIVEN] to conduct security control assessments.

Supplemental guidance

Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.

Objectives

Determine if the organization:

[1]	defines the level of independence to be employed to conduct security control assessments; and

[2]	employs assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security assessments

security authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

CA-2 (2) SPECIALIZED ASSESSMENTS

Label: INSERT into ca-2..2.

Parameter: ca-2_prm_4 organization-defined frequency

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

announced

unannounced

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

in-depth monitoring

vulnerability scanning

malicious user testing

insider threat assessment

performance/load testing

ca-2_prm_7 INSERT into ca-2..2. [NO PARAMETER VALUE GIVEN]

Label: INSERT into ca-2..2.

Parameter: ca-2_prm_7 organization-defined other forms of security assessment

Control

The organization includes as part of security control assessments, ca-2_prm_4 INSERT into ca-2..2. [NO PARAMETER VALUE GIVEN] , ca-2_prm_5 SELECT for { ancestor-or-self::*[@id][1]/@id } announced unannounced [NO PARAMETER VALUE GIVEN] , ca-2_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } in-depth monitoring vulnerability scanning malicious user testing insider threat assessment performance/load testing [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.

cf PE-3: PHYSICAL ACCESS CONTROL

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

[1]

selects one or more of the following forms of specialized security assessment to be included as part of security control assessments:

[a]	in-depth monitoring;

[b]	vulnerability scanning;

[c]	malicious user testing;

[d]	insider threat assessment;

[e]	performance/load testing; and/or

[f]	other forms of organization-defined specialized security assessment;

[2]	defines the frequency for conducting the selected form(s) of specialized security assessment;

[3]	defines whether the specialized security assessment will be announced or unannounced; and

[4]	conducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security assessments

security plan

security assessment plan

security assessment report

security assessment evidence

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting security control assessment

CA-2 (3) EXTERNAL ORGANIZATIONS

Label: INSERT into ca-2..3.

Parameter: ca-2_prm_8 organization-defined information system

Label: INSERT into ca-2..3.

Parameter: ca-2_prm_9 organization-defined external organization

Label: INSERT into ca-2..3.

Parameter: ca-2_prm_10 organization-defined requirements

Control

The organization accepts the results of an assessment of ca-2_prm_8 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] performed by ca-2_prm_9 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] when the assessment meets ca-2_prm_10 INSERT into ca-2..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.

Objectives

Determine if the organization:

[1]	defines an information system for which the results of a security assessment performed by an external organization are to be accepted;

[2]	defines an external organization from which to accept a security assessment performed on an organization-defined information system;

[3]	defines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and

[4]	accepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security assessments

security plan

security assessment requirements

security assessment plan

security assessment report

security assessment evidence

plan of action and milestones

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

personnel performing security assessments for the specified external organization

References

cf Executive Order 13587

cf FIPS Publication 199

cf NIST Special Publication 800-37

cf NIST Special Publication 800-39

cf NIST Special Publication 800-53A

cf NIST Special Publication 800-115

cf NIST Special Publication 800-137

CA-3 SYSTEM INTERCONNECTIONS

Label: INSERT into ca-3_smt_c (CA-3c.)

Parameter: ca-3_prm_1 organization-defined frequency

Control

The organization:

a.	Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

b.	Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and

c.	Reviews and updates Interconnection Security Agreements ca-3_prm_1 INSERT into ca-3_smt_c (CA-3c.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

cf AU-16: CROSS-ORGANIZATIONAL AUDITING

cf CA-7: CONTINUOUS MONITORING

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

cf SC-7: BOUNDARY PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)	authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;

(b)

documents, for each interconnection:

[1]	the interface characteristics;

[2]	the security requirements;

[3]	the nature of the information communicated;

(c)

[1]	defines the frequency to review and update Interconnection Security Agreements; and

[2]	reviews and updates Interconnection Security Agreements with the organization-defined frequency.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system Interconnection Security Agreements

security plan

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements

organizational personnel with information security responsibilities

personnel managing the system(s) to which the Interconnection Security Agreement applies

Control enhancements

CA-3 (1) UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Label: INSERT into ca-3..1.

Parameter: ca-3_prm_2 organization-defined unclassified, national security system

Label: INSERT into ca-3..1.

Parameter: ca-3_prm_3 organization-defined boundary protection device

Control

The organization prohibits the direct connection of an ca-3_prm_2 INSERT into ca-3..1. [NO PARAMETER VALUE GIVEN] to an external network without the use of ca-3_prm_3 INSERT into ca-3..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).

Objectives

Determine if the organization:

[1]	defines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;

[2]	defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and

[3]	prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system interconnection security agreements

security plan

information system design documentation

information system configuration settings and associated documentation

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for managing direct connections to external networks

network administrators

organizational personnel with information security responsibilities

personnel managing directly connected external networks

Assessment: TEST

Automated mechanisms supporting the management of external network connections

CA-3 (2) CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Label: INSERT into ca-3..2.

Parameter: ca-3_prm_4 organization-defined boundary protection device

Control

The organization prohibits the direct connection of a classified, national security system to an external network without the use of ca-3_prm_4 INSERT into ca-3..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.

Objectives

Determine if the organization:

[1]	defines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and

[2]	prohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system interconnection security agreements

security plan

information system design documentation

information system configuration settings and associated documentation

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for managing direct connections to external networks

network administrators

organizational personnel with information security responsibilities

personnel managing directly connected external networks

Assessment: TEST

Automated mechanisms supporting the management of external network connections

CA-3 (3) UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS

Label: INSERT into ca-3..3.

Parameter: ca-3_prm_5 organization-defined unclassified, non-national security system

Label: INSERT into ca-3..3.

Parameter: ca-3_prm_6 Assignment; organization-defined boundary protection device

Control

The organization prohibits the direct connection of an ca-3_prm_5 INSERT into ca-3..3. [NO PARAMETER VALUE GIVEN] to an external network without the use of ca-3_prm_6 INSERT into ca-3..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).

Objectives

Determine if the organization:

[1]	defines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;

[2]	defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and

[3]	prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system interconnection security agreements

security plan

information system design documentation

information system configuration settings and associated documentation

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for managing direct connections to external networks

network administrators

organizational personnel with information security responsibilities

personnel managing directly connected external networks

Assessment: TEST

Automated mechanisms supporting the management of external network connections

CA-3 (4) CONNECTIONS TO PUBLIC NETWORKS

Label: INSERT into ca-3..4.

Parameter: ca-3_prm_7 organization-defined information system

Control

The organization prohibits the direct connection of an ca-3_prm_7 INSERT into ca-3..4. [NO PARAMETER VALUE GIVEN] to a public network.

Supplemental guidance

A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.

Objectives

Determine if the organization:

[1]	defines an information system whose direct connection to a public network is to be prohibited; and

[2]	prohibits the direct connection of an organization-defined information system to a public network.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system interconnection security agreements

security plan

information system design documentation

information system configuration settings and associated documentation

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting the management of public network connections

CA-3 (5) RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

allow-all, deny-by-exception

deny-all, permit-by-exception

Label: INSERT into ca-3..5.

Parameter: ca-3_prm_9 organization-defined information systems

Control

The organization employs ca-3_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } allow-all, deny-by-exception deny-all, permit-by-exception [NO PARAMETER VALUE GIVEN] policy for allowing ca-3_prm_9 INSERT into ca-3..5. [NO PARAMETER VALUE GIVEN] to connect to external information systems.

Supplemental guidance

Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.

cf CM-7: LEAST FUNCTIONALITY

Objectives

Determine if the organization:

[1]	defines information systems to be allowed to connect to external information systems;

[2]

employs one of the following policies for allowing organization-defined information systems to connect to external information systems:

[a]	allow-all policy;

[b]	deny-by-exception policy;

[c]	deny-all policy; or

[d]	permit-by-exception policy.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

information system interconnection agreements

security plan

information system design documentation

information system configuration settings and associated documentation

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for managing connections to external information systems

network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing restrictions on external system connections

References

cf FIPS Publication 199

cf NIST Special Publication 800-47

CA-4 SECURITY CERTIFICATION

cf CA-2: SECURITY ASSESSMENTS

Control

Withdrawn: Incorporated into CA-2.

References: None

CA-5 PLAN OF ACTION AND MILESTONES

Label: INSERT into ca-5_smt_b (CA-5b.)

Parameter: ca-5_prm_1 organization-defined frequency

Control

The organization:

a.	Develops a plan of action and milestones for the information system to document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and

b.	Updates existing plan of action and milestones ca-5_prm_1 INSERT into ca-5_smt_b (CA-5b.) [NO PARAMETER VALUE GIVEN] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.

Supplemental guidance

Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf CM-4: SECURITY IMPACT ANALYSIS

cf PM-4: PLAN OF ACTION AND MILESTONES PROCESS

Objectives

Determine if the organization:

(a)

develops a plan of action and milestones for the information system to:

[1]	document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;

[2]	reduce or eliminate known vulnerabilities in the system;

(b)

[1]	defines the frequency to update the existing plan of action and milestones;

[2]

updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:

[a]	security controls assessments;

[b]	security impact analyses; and

[c]	continuous monitoring activities.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing plan of action and milestones

security plan

security assessment plan

security assessment report

security assessment evidence

plan of action and milestones

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with plan of action and milestones development and implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms for developing, implementing, and maintaining plan of action and milestones

Control enhancements

CA-5 (1) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY

Control

The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.

Objectives

Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:

[1]

accurate;

[2]	up to date; and

[3]	readily available.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing plan of action and milestones

information system design documentation, information system configuration settings and associated documentation

information system audit records

plan of action and milestones

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with plan of action and milestones development and implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms for developing, implementing and maintaining plan of action and milestones

References

cf OMB Memorandum 02-01

cf NIST Special Publication 800-37

CA-6 SECURITY AUTHORIZATION

Label: INSERT into ca-6_smt_c (CA-6c.)

Parameter: ca-6_prm_1 organization-defined frequency

Control

The organization:

a.	Assigns a senior-level executive or manager as the authorizing official for the information system;

b.	Ensures that the authorizing official authorizes the information system for processing before commencing operations; and

c.	Updates the security authorization ca-6_prm_1 INSERT into ca-6_smt_c (CA-6c.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf PM-9: RISK MANAGEMENT STRATEGY

cf PM-10: SECURITY AUTHORIZATION PROCESS

Objectives

Determine if the organization:

(a)	assigns a senior-level executive or manager as the authorizing official for the information system;

(b)	ensures that the authorizing official authorizes the information system for processing before commencing operations;

(c)

[1]	defines the frequency to update the security authorization; and

[2]	updates the security authorization with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing security authorization

security authorization package (including security plan

security assessment report

plan of action and milestones

authorization statement)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security authorization responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that facilitate security authorizations and updates

References

cf OMB Circular A-130

cf OMB Memorandum 11-33

cf NIST Special Publication 800-37

cf NIST Special Publication 800-137

CA-7 CONTINUOUS MONITORING

Label: INSERT into ca-7_smt_a (CA-7a.)

Parameter: ca-7_prm_1 organization-defined metrics

Label: INSERT into ca-7_smt_b (CA-7b.)

Parameter: ca-7_prm_2 organization-defined frequencies

Label: INSERT into ca-7_smt_b (CA-7b.)

Parameter: ca-7_prm_3 organization-defined frequencies

Label: INSERT into ca-7_smt_g (CA-7g.)

Parameter: ca-7_prm_4 organization-defined personnel or roles

Label: INSERT into ca-7_smt_g (CA-7g.)

Parameter: ca-7_prm_5 organization-defined frequency

Control

The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:

a.	Establishment of ca-7_prm_1 INSERT into ca-7_smt_a (CA-7a.) [NO PARAMETER VALUE GIVEN] to be monitored;

b.	Establishment of ca-7_prm_2 INSERT into ca-7_smt_b (CA-7b.) [NO PARAMETER VALUE GIVEN] for monitoring and ca-7_prm_3 INSERT into ca-7_smt_b (CA-7b.) [NO PARAMETER VALUE GIVEN] for assessments supporting such monitoring;

c.	Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

d.	Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

e.	Correlation and analysis of security-related information generated by assessments and monitoring;

f.	Response actions to address results of the analysis of security-related information; and

g.	Reporting the security status of organization and the information system to ca-7_prm_4 INSERT into ca-7_smt_g (CA-7g.) [NO PARAMETER VALUE GIVEN] ca-7_prm_5 INSERT into ca-7_smt_g (CA-7g.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.

cf CA-2: SECURITY ASSESSMENTS

cf CA-5: PLAN OF ACTION AND MILESTONES

cf CA-6: SECURITY AUTHORIZATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-4: SECURITY IMPACT ANALYSIS

cf PM-6: INFORMATION SECURITY MEASURES OF PERFORMANCE

cf PM-9: RISK MANAGEMENT STRATEGY

cf RA-5: VULNERABILITY SCANNING

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-2: FLAW REMEDIATION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	develops a continuous monitoring strategy that defines metrics to be monitored;

[2]	develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;

[3]	implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

(b)

[1]	develops a continuous monitoring strategy that defines frequencies for monitoring;

[2]	defines frequencies for assessments supporting monitoring;

[3]	develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;

[4]	implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;

(c)

[1]	develops a continuous monitoring strategy that includes ongoing security control assessments;

[2]	implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;

(d)

[1]	develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;

[2]	implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;

(e)

[1]	develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;

[2]	implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;

(f)

[1]	develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;

[2]	implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;

(g)

[1]	develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;

[2]	develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;

[3]	develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and

[4]	implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing continuous monitoring of information system security controls

procedures addressing configuration management

security plan

security assessment report

plan of action and milestones

information system monitoring records

configuration management records, security impact analyses

status reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with continuous monitoring responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Mechanisms implementing continuous monitoring

Control enhancements

CA-7 (1) INDEPENDENT ASSESSMENT

Label: INSERT into ca-7..1.

Parameter: ca-7_prm_6 organization-defined level of independence

Control

The organization employs assessors or assessment teams with ca-7_prm_6 INSERT into ca-7..1. [NO PARAMETER VALUE GIVEN] to monitor the security controls in the information system on an ongoing basis.

Supplemental guidance

Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.

Objectives

Determine if the organization:

[1]	defines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and

[2]	employs assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing continuous monitoring of information system security controls

security plan

security assessment report

plan of action and milestones

information system monitoring records

security impact analyses

status reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with continuous monitoring responsibilities

organizational personnel with information security responsibilities

CA-7 (2) TYPES OF ASSESSMENTS

cf CA-2: SECURITY ASSESSMENTS

Control

Withdrawn: Incorporated into CA-2.

CA-7 (3) TREND ANALYSES

Control

The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.

Supplemental guidance

Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.

Objectives

Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:

[1]	security control implementations;

[2]	the frequency of continuous monitoring activities; and/or

[3]	the types of activities used in the continuous monitoring process.

Assessment: EXAMINE

Continuous monitoring strategy

Security assessment and authorization policy

procedures addressing continuous monitoring of information system security controls

security plan

security assessment report

plan of action and milestones

information system monitoring records

security impact analyses

status reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with continuous monitoring responsibilities

organizational personnel with information security responsibilities

References

cf OMB Memorandum 11-33

cf NIST Special Publication 800-37

cf NIST Special Publication 800-39

cf NIST Special Publication 800-53A

cf NIST Special Publication 800-115

cf NIST Special Publication 800-137

cf US-CERT Technical Cyber Security Alerts

cf DoD Information Assurance Vulnerability Alerts

CA-8 PENETRATION TESTING

Label: INSERT into ca-8

Parameter: ca-8_prm_1 organization-defined frequency

Label: INSERT into ca-8

Parameter: ca-8_prm_2 organization-defined information systems or system components

Control

The organization conducts penetration testing ca-8_prm_1 INSERT into ca-8 [NO PARAMETER VALUE GIVEN] on ca-8_prm_2 INSERT into ca-8 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines information systems or system components on which penetration testing is to be conducted;

[2]	defines the frequency to conduct penetration testing on organization-defined information systems or system components; and

[3]	conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing penetration testing

security plan

security assessment plan

penetration test report

security assessment report

security assessment evidence

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities, system/network administrators

Assessment: TEST

Automated mechanisms supporting penetration testing

Control enhancements

CA-8 (1) INDEPENDENT PENETRATION AGENT OR TEAM

Control

The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.

Supplemental guidance

Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.

cf CA-2: SECURITY ASSESSMENTS

Objective

Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing penetration testing

security plan

security assessment plan

penetration test report

security assessment report

security assessment evidence

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

CA-8 (2) RED TEAM EXERCISES

Label: INSERT into ca-8..2.

Parameter: ca-8_prm_3 organization-defined red team exercises

Label: INSERT into ca-8..2.

Parameter: ca-8_prm_4 organization-defined rules of engagement

Control

The organization employs ca-8_prm_3 INSERT into ca-8..2. [NO PARAMETER VALUE GIVEN] to simulate attempts by adversaries to compromise organizational information systems in accordance with ca-8_prm_4 INSERT into ca-8..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.

Objectives

Determine if the organization:

[1]	defines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;

[2]	defines rules of engagement for employing organization-defined red team exercises; and

[3]	employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.

Assessment: EXAMINE

Security assessment and authorization policy

procedures addressing penetration testing

procedures addressing red team exercises

security plan

security assessment plan

results of red team exercise

penetration test report

security assessment report

rules of engagement

security assessment evidence

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security assessment responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting employment of red team exercises

References: None

CA-9 INTERNAL SYSTEM CONNECTIONS

Label: INSERT into ca-9_smt_a (CA-9a.)

Parameter: ca-9_prm_1 organization-defined information system components or classes of components

Control

The organization:

a.	Authorizes internal connections of ca-9_prm_1 INSERT into ca-9_smt_a (CA-9a.) [NO PARAMETER VALUE GIVEN] to the information system; and

b.	Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.

Supplemental guidance

This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

cf CA-7: CONTINUOUS MONITORING

cf CM-2: BASELINE CONFIGURATION

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf SC-7: BOUNDARY PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines information system components or classes of components to be authorized as internal connections to the information system;

[2]	authorizes internal connections of organization-defined information system components or classes of components to the information system;

(b)

documents, for each internal connection:

[1]	the interface characteristics;

[2]	the security requirements; and

[3]	the nature of the information communicated.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

security plan

information system design documentation

information system configuration settings and associated documentation

list of components or classes of components authorized as internal system connections

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections

organizational personnel with information security responsibilities

Control enhancements

CA-9 (1) SECURITY COMPLIANCE CHECKS

Control

The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.

Supplemental guidance

Security compliance checks may include, for example, verification of the relevant baseline configuration.

cf CM-6: CONFIGURATION SETTINGS

Objective

Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.

Assessment: EXAMINE

Access control policy

procedures addressing information system connections

system and communications protection policy

security plan

information system design documentation

information system configuration settings and associated documentation

list of components or classes of components authorized as internal system connections

security assessment report

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting compliance checks

References: None

CONFIGURATION MANAGEMENT

CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Label: INSERT into cm-1_smt_a (CM-1a.)

Parameter: cm-1_prm_1 organization-defined personnel or roles

Label: INSERT into cm-1_smt_b.1 (CM-1b.1.)

Parameter: cm-1_prm_2 organization-defined frequency

Label: INSERT into cm-1_smt_b.2 (CM-1b.2.)

Parameter: cm-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to cm-1_prm_1 INSERT into cm-1_smt_a (CM-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and

Reviews and updates the current:

1.	Configuration management policy cm-1_prm_2 INSERT into cm-1_smt_b.1 (CM-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Configuration management procedures cm-1_prm_3 INSERT into cm-1_smt_b.2 (CM-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a configuration management policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the configuration management policy is to be disseminated;

[3]	disseminates the configuration management policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current configuration management policy;

[2]	reviews and updates the current configuration management policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current configuration management procedures; and

[2]	reviews and updates the current configuration management procedures with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

CM-2 BASELINE CONFIGURATION

Control

The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.

Supplemental guidance

This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-6: CONFIGURATION SETTINGS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf PM-5: INFORMATION SYSTEM INVENTORY

cf PM-7: ENTERPRISE ARCHITECTURE

Objectives

Determine if the organization:

[1]	develops and documents a current baseline configuration of the information system; and

[2]	maintains, under configuration control, a current baseline configuration of the information system.

Assessment: EXAMINE

Configuration management policy

procedures addressing the baseline configuration of the information system

configuration management plan

enterprise architecture documentation

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

automated mechanisms supporting configuration control of the baseline configuration

Control enhancements

CM-2 (1) REVIEWS AND UPDATES

Label: INSERT into cm-2..1._smt_a (CM-2 (1)(a))

Parameter: cm-2_prm_1 organization-defined frequency

Label: INSERT into cm-2..1._smt_b (CM-2 (1)(b))

Parameter: cm-2_prm_2 Assignment organization-defined circumstances

Control

The organization reviews and updates the baseline configuration of the information system:

(a)	cm-2_prm_1 INSERT into cm-2..1._smt_a (CM-2 (1)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	When required due to cm-2_prm_2 INSERT into cm-2..1._smt_b (CM-2 (1)(b)) [NO PARAMETER VALUE GIVEN] ; and

(c)	As an integral part of information system component installations and upgrades.

Supplemental guidance

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

Objectives

Determine if the organization:

(a)

[1]	defines the frequency to review and update the baseline configuration of the information system;

[2]	reviews and updates the baseline configuration of the information system with the organization-defined frequency;

(b)

[1]	defines circumstances that require the baseline configuration of the information system to be reviewed and updated;

[2]	reviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and

(c)	reviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing the baseline configuration of the information system

procedures addressing information system component installations and upgrades

information system architecture and configuration documentation

information system configuration settings and associated documentation

records of information system baseline configuration reviews and updates

information system component installations/upgrades and associated records

change control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

automated mechanisms supporting review and update of the baseline configuration

CM-2 (2) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY

Control

The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.

Supplemental guidance

Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.

cf CM-7: LEAST FUNCTIONALITY

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization employs automated mechanisms to maintain:

[1]	an up-to-date baseline configuration of the information system;

[2]	a complete baseline configuration of the information system;

[3]	an accurate baseline configuration of the information system; and

[4]	a readily available baseline configuration of the information system.

Assessment: EXAMINE

Configuration management policy

procedures addressing the baseline configuration of the information system

configuration management plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

configuration change control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

automated mechanisms implementing baseline configuration maintenance

CM-2 (3) RETENTION OF PREVIOUS CONFIGURATIONS

Label: INSERT into cm-2..3.

Parameter: cm-2_prm_3 organization-defined previous versions of baseline configurations of the information system

Control

The organization retains cm-2_prm_3 INSERT into cm-2..3. [NO PARAMETER VALUE GIVEN] to support rollback.

Supplemental guidance

Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.

Objectives

Determine if the organization:

[1]	defines previous versions of baseline configurations of the information system to be retained to support rollback; and

[2]	retains organization-defined previous versions of baseline configurations of the information system to support rollback.

Assessment: EXAMINE

Configuration management policy

procedures addressing the baseline configuration of the information system

configuration management plan

information system architecture and configuration documentation

information system configuration settings and associated documentation

copies of previous baseline configuration versions

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

CM-2 (4) UNAUTHORIZED SOFTWARE

cf CM-7: LEAST FUNCTIONALITY

Control

Withdrawn: Incorporated into CM-7.

CM-2 (5) AUTHORIZED SOFTWARE

cf CM-7: LEAST FUNCTIONALITY

Control

Withdrawn: Incorporated into CM-7.

CM-2 (6) DEVELOPMENT AND TEST ENVIRONMENTS

Control

The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.

Supplemental guidance

Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.

cf CM-4: SECURITY IMPACT ANALYSIS

cf SC-3: SECURITY FUNCTION ISOLATION

cf SC-7: BOUNDARY PROTECTION

Objective

Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.

Assessment: EXAMINE

Configuration management policy

procedures addressing the baseline configuration of the information system

configuration management plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

automated mechanisms implementing separate baseline configurations for development, test, and operational environments

CM-2 (7) CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS

Label: INSERT into cm-2..7._smt_a (CM-2 (7)(a))

Parameter: cm-2_prm_4 organization-defined information systems, system components, or devices

Label: INSERT into cm-2..7._smt_a (CM-2 (7)(a))

Parameter: cm-2_prm_5 organization-defined configurations

Label: INSERT into cm-2..7._smt_b (CM-2 (7)(b))

Parameter: cm-2_prm_6 organization-defined security safeguards

Control

The organization:

(a)	Issues cm-2_prm_4 INSERT into cm-2..7._smt_a (CM-2 (7)(a)) [NO PARAMETER VALUE GIVEN] with cm-2_prm_5 INSERT into cm-2..7._smt_a (CM-2 (7)(a)) [NO PARAMETER VALUE GIVEN] to individuals traveling to locations that the organization deems to be of significant risk; and

(b)	Applies cm-2_prm_6 INSERT into cm-2..7._smt_b (CM-2 (7)(b)) [NO PARAMETER VALUE GIVEN] to the devices when the individuals return.

Supplemental guidance

When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.

Objectives

Determine if the organization:

(a)

[1]	defines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;

[2]	defines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;

[3]	issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;

(b)

[1]	defines security safeguards to be applied to the devices when the individuals return; and

[2]	applies organization-defined safeguards to the devices when the individuals return.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing the baseline configuration of the information system

procedures addressing information system component installations and upgrades

information system architecture and configuration documentation

information system configuration settings and associated documentation

records of information system baseline configuration reviews and updates

information system component installations/upgrades and associated records

change control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing baseline configurations

References

cf NIST Special Publication 800-128

CM-3 CONFIGURATION CHANGE CONTROL

Label: INSERT into cm-3_smt_e (CM-3e.)

Parameter: cm-3_prm_1 organization-defined time period

Label: INSERT into cm-3_smt_g (CM-3g.)

Parameter: cm-3_prm_2 organization-defined configuration change control element (e.g., committee, board)

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: cm-3_prm_3 Insertion into CM-3g.

cm-3_prm_4 INSERT into cm-3_smt_g (CM-3g.) [NO PARAMETER VALUE GIVEN]

cm-3_prm_5 INSERT into cm-3_smt_g (CM-3g.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into cm-3_smt_g (CM-3g.)

Parameter: cm-3_prm_4 organization-defined frequency

Label: INSERT into cm-3_smt_g (CM-3g.)

Parameter: cm-3_prm_5 organization-defined configuration change conditions

Control

The organization:

a.	Determines the types of changes to the information system that are configuration-controlled;

b.	Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

c.	Documents configuration change decisions associated with the information system;

d.	Implements approved configuration-controlled changes to the information system;

e.	Retains records of configuration-controlled changes to the information system for cm-3_prm_1 INSERT into cm-3_smt_e (CM-3e.) [NO PARAMETER VALUE GIVEN] ;

f.	Audits and reviews activities associated with configuration-controlled changes to the information system; and

g.	Coordinates and provides oversight for configuration change control activities through cm-3_prm_2 INSERT into cm-3_smt_g (CM-3g.) [NO PARAMETER VALUE GIVEN] that convenes cm-3_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.

cf CA-7: CONTINUOUS MONITORING

cf CM-2: BASELINE CONFIGURATION

cf CM-4: SECURITY IMPACT ANALYSIS

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-6: CONFIGURATION SETTINGS

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf SI-2: FLAW REMEDIATION

cf SI-12: INFORMATION HANDLING AND RETENTION

Objectives

Determine if the organization:

(a)	determines the type of changes to the information system that must be configuration-controlled;

(b)	reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;

(c)	documents configuration change decisions associated with the information system;

(d)	implements approved configuration-controlled changes to the information system;

(e)

[1]	defines a time period to retain records of configuration-controlled changes to the information system;

[2]	retains records of configuration-controlled changes to the information system for the organization-defined time period;

(f)	audits and reviews activities associated with configuration-controlled changes to the information system;

(g)

[1]	defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;

[2]	defines the frequency with which the configuration change control element must convene; and/or

[3]	defines configuration change conditions that prompt the configuration change control element to convene; and

[4]	coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system configuration change control

configuration management plan

information system architecture and configuration documentation

security plan

change control records

information system audit records

change control audit and review reports

agenda /minutes from configuration change control oversight meetings

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

members of change control board or similar

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms that implement configuration change control

Control enhancements

CM-3 (1) AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES

Label: INSERT into cm-3..1._smt_b (CM-3 (1)(b))

Parameter: cm-3_prm_6 organized-defined approval authorities

Label: INSERT into cm-3..1._smt_c (CM-3 (1)(c))

Parameter: cm-3_prm_7 organization-defined time period

Label: INSERT into cm-3..1._smt_f (CM-3 (1)(f))

Parameter: cm-3_prm_8 organization-defined personnel

Control

The organization employs automated mechanisms to:

(a)	Document proposed changes to the information system;

(b)	Notify cm-3_prm_6 INSERT into cm-3..1._smt_b (CM-3 (1)(b)) [NO PARAMETER VALUE GIVEN] of proposed changes to the information system and request change approval;

(c)	Highlight proposed changes to the information system that have not been approved or disapproved by cm-3_prm_7 INSERT into cm-3..1._smt_c (CM-3 (1)(c)) [NO PARAMETER VALUE GIVEN] ;

(d)	Prohibit changes to the information system until designated approvals are received;

(e)	Document all changes to the information system; and

(f)	Notify cm-3_prm_8 INSERT into cm-3..1._smt_f (CM-3 (1)(f)) [NO PARAMETER VALUE GIVEN] when approved changes to the information system are completed.

Objectives

Determine if the organization:

(a)	employs automated mechanisms to document proposed changes to the information system;

(b)

[1]	defines approval authorities to be notified of proposed changes to the information system and request change approval;

[2]	employs automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;

(c)

[1]	defines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;

[2]	employs automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;

(d)	employs automated mechanisms to prohibit changes to the information system until designated approvals are received;

(e)	employs automated mechanisms to document all changes to the information system;

(f)

[1]	defines personnel to be notified when approved changes to the information system are completed; and

[2]	employs automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system configuration change control

configuration management plan

information system design documentation

information system architecture and configuration documentation

automated configuration control mechanisms

information system configuration settings and associated documentation

change control records

information system audit records

change approval requests

change approvals

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms implementing configuration change control activities

CM-3 (2) TEST / VALIDATE / DOCUMENT CHANGES

Control

The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.

Supplemental guidance

Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).

Objectives

Determine if the organization, before implementing changes on the operational system:

[1]	tests changes to the information system;

[2]	validates changes to the information system; and

[3]	documents changes to the information system.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing information system configuration change control

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

test records

validation records

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms supporting and/or implementing testing, validating, and documenting information system changes

CM-3 (3) AUTOMATED CHANGE IMPLEMENTATION

Control

The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.

Objectives

Determine if the organization:

[1]	employs automated mechanisms to implement changes to the current information system baseline; and

[2]	deploys the updated baseline across the installed base.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing information system configuration change control

information system design documentation

information system architecture and configuration documentation

automated configuration control mechanisms

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms implementing changes to current information system baseline

CM-3 (4) SECURITY REPRESENTATIVE

Label: INSERT into cm-3..4.

Parameter: cm-3_prm_9 organization-defined configuration change control element

Control

The organization requires an information security representative to be a member of the cm-3_prm_9 INSERT into cm-3..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.

Objectives

Determine if the organization:

[1]	specifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and

[2]	requires an information security representative to be a member of the specified configuration control element.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system configuration change control

configuration management plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for configuration change control

CM-3 (5) AUTOMATED SECURITY RESPONSE

Label: INSERT into cm-3..5.

Parameter: cm-3_prm_10 organization-defined security responses

Control

The information system implements cm-3_prm_10 INSERT into cm-3..5. [NO PARAMETER VALUE GIVEN] automatically if baseline configurations are changed in an unauthorized manner.

Supplemental guidance

Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.

Objectives

Determine if:

[1]	the organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and

[2]	the information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system configuration change control

configuration management plan

security plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

alerts/notifications of unauthorized baseline configuration changes

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for configuration change control

automated mechanisms implementing security responses to changes to the baseline configurations

CM-3 (6) CRYPTOGRAPHY MANAGEMENT

Label: INSERT into cm-3..6.

Parameter: cm-3_prm_11 organization-defined security safeguards

Control

The organization ensures that cryptographic mechanisms used to provide cm-3_prm_11 INSERT into cm-3..6. [NO PARAMETER VALUE GIVEN] are under configuration management.

Supplemental guidance

Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization:

[1]	defines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and

[2]	ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system configuration change control

configuration management plan

security plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with configuration change control responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for configuration change control

cryptographic mechanisms implementing organizational security safeguards

References

cf NIST Special Publication 800-128

CM-4 SECURITY IMPACT ANALYSIS

Control

The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

Supplemental guidance

Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf SA-4: ACQUISITION PROCESS

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf SI-2: FLAW REMEDIATION

Objective

Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.

Assessment: EXAMINE

Configuration management policy

procedures addressing security impact analysis for changes to the information system

configuration management plan

security impact analysis documentation

analysis tools and associated outputs

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for conducting security impact analysis

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for security impact analysis

Control enhancements

CM-4 (1) SEPARATE TEST ENVIRONMENTS

Control

The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.

Supplemental guidance

Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SC-3: SECURITY FUNCTION ISOLATION

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

[1]	analyzes changes to the information system in a separate test environment before implementation in an operational environment;

[2]

when analyzing changes to the information system in a separate test environment, looks for security impacts due to:

[a]

flaws;

[b]	weaknesses;

[c]	incompatibility; and

[d]	intentional malice.

Assessment: EXAMINE

Configuration management policy

procedures addressing security impact analysis for changes to the information system

configuration management plan

security impact analysis documentation

analysis tools and associated outputs information system design documentation

information system architecture and configuration documentation

change control records

information system audit records

documentation evidence of separate test and operational environments

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for conducting security impact analysis

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for security impact analysis

automated mechanisms supporting and/or implementing security impact analysis of changes

CM-4 (2) VERIFICATION OF SECURITY FUNCTIONS

Control

The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.

Supplemental guidance

Implementation is this context refers to installing changed code in the operational information system.

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

Objectives

Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:

[1]	implemented correctly;

[2]	operating as intended; and

[3]	producing the desired outcome with regard to meeting the security requirements for the system.

Assessment: EXAMINE

Configuration management policy

procedures addressing security impact analysis for changes to the information system

configuration management plan

security impact analysis documentation

analysis tools and associated outputs

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for conducting security impact analysis

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for security impact analysis

automated mechanisms supporting and/or implementing verification of security functions

References

cf NIST Special Publication 800-128

CM-5 ACCESS RESTRICTIONS FOR CHANGE

Control

The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.

Supplemental guidance

Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf PE-3: PHYSICAL ACCESS CONTROL

Objectives

Determine if the organization:

[1]	defines physical access restrictions associated with changes to the information system;

[2]	documents physical access restrictions associated with changes to the information system;

[3]	approves physical access restrictions associated with changes to the information system;

[4]	enforces physical access restrictions associated with changes to the information system;

[5]	defines logical access restrictions associated with changes to the information system;

[6]	documents logical access restrictions associated with changes to the information system;

[7]	approves logical access restrictions associated with changes to the information system; and

[8]	enforces logical access restrictions associated with changes to the information system.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

logical access approvals

physical access approvals

access credentials

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with logical access control responsibilities

organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system

Control enhancements

CM-5 (1) AUTOMATED ACCESS ENFORCEMENT / AUDITING

Control

The information system enforces access restrictions and supports auditing of the enforcement actions.

Supplemental guidance

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-6: CONFIGURATION SETTINGS

Objectives

Determine if the information system:

[1]	enforces access restrictions for change; and

[2]	supports auditing of the enforcement actions.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms implementing enforcement of access restrictions for changes to the information system

automated mechanisms supporting auditing of enforcement actions

CM-5 (2) REVIEW SYSTEM CHANGES

Label: INSERT into cm-5..2.

Parameter: cm-5_prm_1 organization-defined frequency

Label: INSERT into cm-5..2.

Parameter: cm-5_prm_2 organization-defined circumstances

Control

The organization reviews information system changes cm-5_prm_1 INSERT into cm-5..2. [NO PARAMETER VALUE GIVEN] and cm-5_prm_2 INSERT into cm-5..2. [NO PARAMETER VALUE GIVEN] to determine whether unauthorized changes have occurred.

Supplemental guidance

Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf PE-6: MONITORING PHYSICAL ACCESS

cf PE-8: VISITOR ACCESS RECORDS

Objectives

Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:

[1]	defines the frequency to review information system changes;

[2]	defines circumstances that warrant review of information system changes;

[3]	reviews information system changes with the organization-defined frequency; and

[4]	reviews information system changes with the organization-defined circumstances.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

security plan

reviews of information system changes

audit and review reports

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred

CM-5 (3) SIGNED COMPONENTS

Label: INSERT into cm-5..3.

Parameter: cm-5_prm_3 organization-defined software and firmware components

Control

The information system prevents the installation of cm-5_prm_3 INSERT into cm-5..3. [NO PARAMETER VALUE GIVEN] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

Supplemental guidance

Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.

cf CM-7: LEAST FUNCTIONALITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if:

[1]	the organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and

[2]	the information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

security plan

list of software and firmware components to be prohibited from installation without a recognized and approved certificate

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate

CM-5 (4) DUAL AUTHORIZATION

Label: INSERT into cm-5..4.

Parameter: cm-5_prm_4 organization-defined information system components and system-level information

Control

The organization enforces dual authorization for implementing changes to cm-5_prm_4 INSERT into cm-5..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.

cf AC-5: SEPARATION OF DUTIES

cf CM-3: CONFIGURATION CHANGE CONTROL

Objectives

Determine if the organization:

[1]	defines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and

[2]	enforces dual authorization for implementing changes to organization-defined information system components and system-level information.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

security plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with dual authorization enforcement responsibilities for implementing information system changes

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms implementing dual authorization enforcement

CM-5 (5) LIMIT PRODUCTION / OPERATIONAL PRIVILEGES

Label: INSERT into cm-5..5._smt_b (CM-5 (5)(b))

Parameter: cm-5_prm_5 organization-defined frequency

Control

The organization:

(a)	Limits privileges to change information system components and system-related information within a production or operational environment; and

(b)	Reviews and reevaluates privileges cm-5_prm_5 INSERT into cm-5..5._smt_b (CM-5 (5)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.

cf AC-2: ACCOUNT MANAGEMENT

Objectives

Determine if the organization:

(a)	limits privileges to change information system components and system-related information within a production or operational environment;

(b)

[1]	defines the frequency to review and reevaluate privileges; and

[2]	reviews and reevaluates privileges with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

security plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

user privilege reviews

user privilege recertifications

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms supporting and/or implementing access restrictions for change

CM-5 (6) LIMIT LIBRARY PRIVILEGES

Control

The organization limits privileges to change software resident within software libraries.

Supplemental guidance

Software libraries include privileged programs.

cf AC-2: ACCOUNT MANAGEMENT

Objective

Determine if the organization limits privileges to change software resident within software libraries.

Assessment: EXAMINE

Configuration management policy

procedures addressing access restrictions for changes to the information system

configuration management plan

information system design documentation

information system architecture and configuration documentation

information system configuration settings and associated documentation

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing access restrictions to change

automated mechanisms supporting and/or implementing access restrictions for change

CM-5 (7) AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Control

Withdrawn: Incorporated into SI-7.

References: None

CM-6 CONFIGURATION SETTINGS

Label: INSERT into cm-6_smt_a (CM-6a.)

Parameter: cm-6_prm_1 organization-defined security configuration checklists

Label: INSERT into cm-6_smt_c (CM-6c.)

Parameter: cm-6_prm_2 organization-defined information system components

Label: INSERT into cm-6_smt_c (CM-6c.)

Parameter: cm-6_prm_3 organization-defined operational requirements

Control

The organization:

a.	Establishes and documents configuration settings for information technology products employed within the information system using cm-6_prm_1 INSERT into cm-6_smt_a (CM-6a.) [NO PARAMETER VALUE GIVEN] that reflect the most restrictive mode consistent with operational requirements;

b.	Implements the configuration settings;

c.	Identifies, documents, and approves any deviations from established configuration settings for cm-6_prm_2 INSERT into cm-6_smt_c (CM-6c.) [NO PARAMETER VALUE GIVEN] based on cm-6_prm_3 INSERT into cm-6_smt_c (CM-6c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.

Supplemental guidance

Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CM-2: BASELINE CONFIGURATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-7: LEAST FUNCTIONALITY

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;

[2]	ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;

[3]	establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;

(b)	implements the configuration settings established/documented in CM-6(a);;

(c)

[1]

defines information system components for which any deviations from established configuration settings must be:

[a]	identified;

[b]	documented;

[c]

approved;

[2]

defines operational requirements to support:

[a]	the identification of any deviations from established configuration settings;

[b]	the documentation of any deviations from established configuration settings;

[c]	the approval of any deviations from established configuration settings;

[3]	identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

[4]	documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

[5]	approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;

(d)

[1]	monitors changes to the configuration settings in accordance with organizational policies and procedures; and

[2]	controls changes to the configuration settings in accordance with organizational policies and procedures.

Assessment: EXAMINE

Configuration management policy

procedures addressing configuration settings for the information system

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

security configuration checklists

evidence supporting approved deviations from established configuration settings

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing configuration settings

automated mechanisms that implement, monitor, and/or control information system configuration settings

automated mechanisms that identify and/or document deviations from established configuration settings

Control enhancements

CM-6 (1) AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION

Label: INSERT into cm-6..1.

Parameter: cm-6_prm_4 organization-defined information system components

Control

The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for cm-6_prm_4 INSERT into cm-6..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf CA-7: CONTINUOUS MONITORING

cf CM-4: SECURITY IMPACT ANALYSIS

Objectives

Determine if the organization:

[1]

defines information system components for which automated mechanisms are to be employed to:

[a]	centrally manage configuration settings of such components;

[b]	apply configuration settings of such components;

[c]	verify configuration settings of such components;

[2]

employs automated mechanisms to:

[a]	centrally manage configuration settings for organization-defined information system components;

[b]	apply configuration settings for organization-defined information system components; and

[c]	verify configuration settings for organization-defined information system components.

Assessment: EXAMINE

Configuration management policy

procedures addressing configuration settings for the information system

configuration management plan

information system design documentation

information system configuration settings and associated documentation

security configuration checklists

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for managing configuration settings

automated mechanisms implemented to centrally manage, apply, and verify information system configuration settings

CM-6 (2) RESPOND TO UNAUTHORIZED CHANGES

Label: INSERT into cm-6..2.

Parameter: cm-6_prm_5 organization-defined security safeguards

Label: INSERT into cm-6..2.

Parameter: cm-6_prm_6 organization-defined configuration settings

Control

The organization employs cm-6_prm_5 INSERT into cm-6..2. [NO PARAMETER VALUE GIVEN] to respond to unauthorized changes to cm-6_prm_6 INSERT into cm-6..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.

cf IR-4: INCIDENT HANDLING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

[1]	defines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;

[2]	defines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and

[3]	employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.

Assessment: EXAMINE

Configuration management policy

procedures addressing configuration settings for the information system

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

alerts/notifications of unauthorized changes to information system configuration settings

documented responses to unauthorized changes to information system configuration settings

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational process for responding to unauthorized changes to information system configuration settings

automated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes

CM-6 (3) UNAUTHORIZED CHANGE DETECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Control

Withdrawn: Incorporated into SI-7.

CM-6 (4) CONFORMANCE DEMONSTRATION

cf CM-4: SECURITY IMPACT ANALYSIS

Control

Withdrawn: Incorporated into CM-4.

References

cf OMB Memorandum 07-11

cf OMB Memorandum 07-18

cf OMB Memorandum 08-22

cf NIST Special Publication 800-70

cf NIST Special Publication 800-128

cf http://nvd.nist.gov

cf http://checklists.nist.gov

cf http://www.nsa.gov

CM-7 LEAST FUNCTIONALITY

Label: INSERT into cm-7_smt_b (CM-7b.)

Parameter: cm-7_prm_1 organization-defined prohibited or restricted functions, ports, protocols, and/or services

Control

The organization:

a.	Configures the information system to provide only essential capabilities; and

b.	Prohibits or restricts the use of the following functions, ports, protocols, and/or services: cm-7_prm_1 INSERT into cm-7_smt_b (CM-7b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.

cf AC-6: LEAST PRIVILEGE

cf CM-2: BASELINE CONFIGURATION

cf RA-5: VULNERABILITY SCANNING

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

(a)	configures the information system to provide only essential capabilities;

(b)

[1]

defines prohibited or restricted:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

[2]

prohibits or restricts the use of organization-defined:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing least functionality in the information system

security plan

information system design documentation

information system configuration settings and associated documentation

security configuration checklists

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security configuration management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes prohibiting or restricting functions, ports, protocols, and/or services

automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services

Control enhancements

CM-7 (1) PERIODIC REVIEW

Label: INSERT into cm-7..1._smt_a (CM-7 (1)(a))

Parameter: cm-7_prm_2 organization-defined frequency

Label: INSERT into cm-7..1._smt_b (CM-7 (1)(b))

Parameter: cm-7_prm_3 organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure

Control

The organization:

(a)	Reviews the information system cm-7_prm_2 INSERT into cm-7..1._smt_a (CM-7 (1)(a)) [NO PARAMETER VALUE GIVEN] to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and

(b)	Disables cm-7_prm_3 INSERT into cm-7..1._smt_b (CM-7 (1)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.

cf AC-18: WIRELESS ACCESS

cf CM-7: LEAST FUNCTIONALITY

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Objectives

Determine if the organization:

(a)

[1]

defines the frequency to review the information system to identify unnecessary and/or nonsecure:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

[2]

reviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

(b)

[1]

defines, within the information system, unnecessary and/or nonsecure:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

[2]

disables organization-defined unnecessary and/or nonsecure:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services.

Assessment: EXAMINE

Configuration management policy

procedures addressing least functionality in the information system

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

security configuration checklists

documented reviews of functions, ports, protocols, and/or services

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services

automated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services

CM-7 (2) PREVENT PROGRAM EXECUTION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

cm-7_prm_5 INSERT into cm-7..2. [NO PARAMETER VALUE GIVEN]

rules authorizing the terms and conditions of software program usage

Label: INSERT into cm-7..2.

Parameter: cm-7_prm_5 organization-defined policies regarding software program usage and restrictions

Control

The information system prevents program execution in accordance with cm-7_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } rules authorizing the terms and conditions of software program usage [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf PM-5: INFORMATION SYSTEM INVENTORY

Objectives

Determine if:

[1]	the organization defines policies regarding software program usage and restrictions;

[2]

the information system prevents program execution in accordance with one or more of the following:

[a]	organization-defined policies regarding program usage and restrictions; and/or

[b]	rules authorizing the terms and conditions of software program usage.

Assessment: EXAMINE

Configuration management policy

procedures addressing least functionality in the information system

configuration management plan

security plan

information system design documentation

specifications for preventing software program execution

information system configuration settings and associated documentation

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes preventing program execution on the information system

organizational processes for software program usage and restrictions

automated mechanisms preventing program execution on the information system

automated mechanisms supporting and/or implementing software program usage and restrictions

CM-7 (3) REGISTRATION COMPLIANCE

Label: INSERT into cm-7..3.

Parameter: cm-7_prm_6 organization-defined registration requirements for functions, ports, protocols, and services

Control

The organization ensures compliance with cm-7_prm_6 INSERT into cm-7..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.

Objectives

Determine if the organization:

[1]

defines registration requirements for:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services;

[2]

ensures compliance with organization-defined registration requirements for:

[a]	functions;

[b]

ports;

[c]	protocols; and/or

[d]

services.

Assessment: EXAMINE

Configuration management policy

procedures addressing least functionality in the information system

configuration management plan

security plan

information system configuration settings and associated documentation

audit and compliance reviews

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services

automated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services

CM-7 (4) UNAUTHORIZED SOFTWARE / BLACKLISTING

Label: INSERT into cm-7..4._smt_a (CM-7 (4)(a))

Parameter: cm-7_prm_7 organization-defined software programs not authorized to execute on the information system

Label: INSERT into cm-7..4._smt_c (CM-7 (4)(c))

Parameter: cm-7_prm_8 organization-defined frequency

Control

The organization:

(a)	Identifies cm-7_prm_7 INSERT into cm-7..4._smt_a (CM-7 (4)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and

(c)	Reviews and updates the list of unauthorized software programs cm-7_prm_8 INSERT into cm-7..4._smt_c (CM-7 (4)(c)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.

cf CM-6: CONFIGURATION SETTINGS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf PM-5: INFORMATION SYSTEM INVENTORY

Objectives

Determine if the organization:

(a)	Identifies/defines software programs not authorized to execute on the information system;

(b)	employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;

(c)

[1]	defines the frequency to review and update the list of unauthorized software programs on the information system; and

[2]	reviews and updates the list of unauthorized software programs with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing least functionality in the information system

configuration management plan

information system design documentation

information system configuration settings and associated documentation

list of software programs not authorized to execute on the information system

security configuration checklists

review and update records associated with list of unauthorized software programs

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for identifying software not authorized to execute on the information system

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational process for identifying, reviewing, and updating programs not authorized to execute on the information system

organizational process for implementing blacklisting

automated mechanisms supporting and/or implementing blacklisting

CM-7 (5) AUTHORIZED SOFTWARE / WHITELISTING

Label: INSERT into cm-7..5._smt_a (CM-7 (5)(a))

Parameter: cm-7_prm_9 organization-defined software programs authorized to execute on the information system

Label: INSERT into cm-7..5._smt_c (CM-7 (5)(c))

Parameter: cm-7_prm_10 organization-defined frequency

Control

The organization:

(a)	Identifies cm-7_prm_9 INSERT into cm-7..5._smt_a (CM-7 (5)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and

(c)	Reviews and updates the list of authorized software programs cm-7_prm_10 INSERT into cm-7..5._smt_c (CM-7 (5)(c)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf PM-5: INFORMATION SYSTEM INVENTORY

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf SC-34: NON-MODIFIABLE EXECUTABLE PROGRAMS

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)	Identifies/defines software programs authorized to execute on the information system;

(b)	employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;

(c)

[1]	defines the frequency to review and update the list of authorized software programs on the information system; and

[2]	reviews and updates the list of authorized software programs with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing least functionality in the information system

configuration management plan

information system design documentation

information system configuration settings and associated documentation

list of software programs authorized to execute on the information system

security configuration checklists

review and update records associated with list of authorized software programs

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for identifying software authorized to execute on the information system

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system

organizational process for implementing whitelisting

automated mechanisms implementing whitelisting

References

cf DoD Instruction 8551.01

CM-8 INFORMATION SYSTEM COMPONENT INVENTORY

Label: INSERT into cm-8_smt_a.4 (CM-8a.4.)

Parameter: cm-8_prm_1 organization-defined information deemed necessary to achieve effective information system component accountability

Label: INSERT into cm-8_smt_b (CM-8b.)

Parameter: cm-8_prm_2 organization-defined frequency

Control

The organization:

Develops and documents an inventory of information system components that:

1.	Accurately reflects the current information system;

2.	Includes all components within the authorization boundary of the information system;

3.	Is at the level of granularity deemed necessary for tracking and reporting; and

4.	Includes cm-8_prm_1 INSERT into cm-8_smt_a.4 (CM-8a.4.) [NO PARAMETER VALUE GIVEN] ; and

b.	Reviews and updates the information system component inventory cm-8_prm_2 INSERT into cm-8_smt_b (CM-8b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

cf PM-5: INFORMATION SYSTEM INVENTORY

Objectives

Determine if the organization:

(a)

(1)	develops and documents an inventory of information system components that accurately reflects the current information system;

(2)	develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;

(3)	develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;

(4)

[1]	defines the information deemed necessary to achieve effective information system component accountability;

[2]	develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;

(b)

[1]	defines the frequency to review and update the information system component inventory; and

[2]	reviews and updates the information system component inventory with the organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system inventory records

inventory reviews and update records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system component inventory

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for developing and documenting an inventory of information system components

automated mechanisms supporting and/or implementing the information system component inventory

Control enhancements

CM-8 (1) UPDATES DURING INSTALLATIONS / REMOVALS

Control

The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.

Objectives

Determine if the organization updates the inventory of information system components as an integral part of:

[1]	component installations;

[2]	component removals; and

[3]	information system updates.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system inventory records

inventory reviews and update records

component installation records

component removal records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for updating the information system component inventory

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for updating inventory of information system components

automated mechanisms implementing updating of the information system component inventory

CM-8 (2) AUTOMATED MAINTENANCE

Control

The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.

Supplemental guidance

Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:

[1]	up-to-date;

[2]

complete;

[3]	accurate; and

[4]	readily available.

Assessment: EXAMINE

Configuration management policy

configuration management plan

procedures addressing information system component inventory

information system design documentation

information system configuration settings and associated documentation

information system inventory records

change control records

information system maintenance records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for maintaining the inventory of information system components

automated mechanisms implementing the information system component inventory

CM-8 (3) AUTOMATED UNAUTHORIZED COMPONENT DETECTION

Label: INSERT into cm-8..3._smt_a (CM-8 (3)(a))

Parameter: cm-8_prm_3 organization-defined frequency

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: cm-8_prm_4 Insertion into CM-8 (3)(b)

disables network access by such components

isolates the components

notifies cm-8_prm_5 INSERT into cm-8..3._smt_b (CM-8 (3)(b)) [NO PARAMETER VALUE GIVEN]

Label: INSERT into cm-8..3._smt_b (CM-8 (3)(b))

Parameter: cm-8_prm_5 organization-defined personnel or roles

Control

The organization:

(a)	Employs automated mechanisms cm-8_prm_3 INSERT into cm-8..3._smt_a (CM-8 (3)(a)) [NO PARAMETER VALUE GIVEN] to detect the presence of unauthorized hardware, software, and firmware components within the information system; and

(b)	Takes the following actions when unauthorized components are detected: cm-8_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } disables network access by such components isolates the components notifies [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CA-7: CONTINUOUS MONITORING

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

(a)

[1]

defines the frequency to employ automated mechanisms to detect the presence of unauthorized:

[a]	hardware components within the information system;

[b]	software components within the information system;

[c]	firmware components within the information system;

[2]

employs automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:

[a]	hardware components within the information system;

[b]	software components within the information system;

[c]	firmware components within the information system;

(b)

[1]	defines personnel or roles to be notified when unauthorized components are detected;

[2]

takes one or more of the following actions when unauthorized components are detected:

[a]	disables network access by such components;

[b]	isolates the components; and/or

[c]	notifies organization-defined personnel or roles.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

information system inventory records

alerts/notifications of unauthorized components within the information system

information system monitoring records

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for detection of unauthorized information system components

automated mechanisms implementing the detection of unauthorized information system components

CM-8 (4) ACCOUNTABILITY INFORMATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

name

position

role

Control

The organization includes in the information system component inventory information, a means for identifying by cm-8_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } name position role [NO PARAMETER VALUE GIVEN] , individuals responsible/accountable for administering those components.

Supplemental guidance

Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).

Objectives

Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:

[1]

name;

[2]	position; and/or

[3]

role.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system inventory records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for managing the information system component inventory

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for maintaining the inventory of information system components

automated mechanisms implementing the information system component inventory

CM-8 (5) NO DUPLICATE ACCOUNTING OF COMPONENTS

Control

The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.

Supplemental guidance

This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.

Objective

Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system inventory records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system inventory responsibilities

organizational personnel with responsibilities for defining information system components within the authorization boundary of the system

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for maintaining the inventory of information system components

automated mechanisms implementing the information system component inventory

CM-8 (6) ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS

Control

The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.

Supplemental guidance

This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

Objectives

Determine if the organization includes in the information system component inventory:

[1]	assessed component configurations; and

[2]	any approved deviations to current deployed configurations.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

information system inventory records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with inventory management and assessment responsibilities for information system components

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for maintaining the inventory of information system components

automated mechanisms implementing the information system component inventory

CM-8 (7) CENTRALIZED REPOSITORY

Control

The organization provides a centralized repository for the inventory of information system components.

Supplemental guidance

Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).

Objective

Determine if the organization provides a centralized repository for the inventory of information system components.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

information system design documentation

information system inventory repository

information system inventory records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with inventory management responsibilities for information system components

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms implementing the information system component inventory in a centralized repository

CM-8 (8) AUTOMATED LOCATION TRACKING

Control

The organization employs automated mechanisms to support tracking of information system components by geographic location.

Supplemental guidance

The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.

Objective

Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

information system design documentation

information system configuration settings and associated documentation

information system inventory records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with inventory management responsibilities for information system components

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing the information system component inventory

automated mechanisms supporting tracking of information system components by geographic location

CM-8 (9) ASSIGNMENT OF COMPONENTS TO SYSTEMS

Label: INSERT into cm-8..9._smt_a (CM-8 (9)(a))

Parameter: cm-8_prm_7 organization-defined acquired information system components

Control

The organization:

(a)	Assigns cm-8_prm_7 INSERT into cm-8..9._smt_a (CM-8 (9)(a)) [NO PARAMETER VALUE GIVEN] to an information system; and

(b)	Receives an acknowledgement from the information system owner of this assignment.

Supplemental guidance

Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the organization:

(a)

[1]	defines acquired information system components to be assigned to an information system; and

[2]	assigns organization-defined acquired information system components to an information system; and

(b)	receives an acknowledgement from the information system owner of the assignment.

Assessment: EXAMINE

Configuration management policy

procedures addressing information system component inventory

configuration management plan

security plan

information system design documentation

acknowledgements of information system component assignments

information system inventory records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with inventory management responsibilities for information system components

information system owner

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for assigning components to systems

organizational processes for acknowledging assignment of components to systems

automated mechanisms implementing assignment of acquired components to the information system

automated mechanisms implementing acknowledgment of assignment of acquired components to the information system

References

cf NIST Special Publication 800-128

CM-9 CONFIGURATION MANAGEMENT PLAN

Control

The organization develops, documents, and implements a configuration management plan for the information system that:

a.	Addresses roles, responsibilities, and configuration management processes and procedures;

b.	Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;

c.	Defines the configuration items for the information system and places the configuration items under configuration management; and

d.	Protects the configuration management plan from unauthorized disclosure and modification.

Supplemental guidance

Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.

cf CM-2: BASELINE CONFIGURATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-4: SECURITY IMPACT ANALYSIS

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

Objectives

Determine if the organization develops, documents, and implements a configuration management plan for the information system that:

(a)

[1]	addresses roles;

[2]	addresses responsibilities;

[3]	addresses configuration management processes and procedures;

(b)

establishes a process for:

[1]	identifying configuration items throughout the SDLC;

[2]	managing the configuration of the configuration items;

(c)

[1]	defines the configuration items for the information system;

[2]	places the configuration items under configuration management;

(d)

protects the configuration management plan from unauthorized:

[1]	disclosure; and

[2]	modification.

Assessment: EXAMINE

Configuration management policy

procedures addressing configuration management planning

configuration management plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for developing the configuration management plan

organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan

organizational personnel with responsibilities for protecting the configuration management plan

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for developing and documenting the configuration management plan

organizational processes for identifying and managing configuration items

organizational processes for protecting the configuration management plan

automated mechanisms implementing the configuration management plan

automated mechanisms for managing configuration items

automated mechanisms for protecting the configuration management plan

Control enhancements

CM-9 (1) ASSIGNMENT OF RESPONSIBILITY

Control

The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.

Supplemental guidance

In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

Objective

Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.

Assessment: EXAMINE

Configuration management policy

procedures addressing responsibilities for configuration management process development

configuration management plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for configuration management process development

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-128

CM-10 SOFTWARE USAGE RESTRICTIONS

Control

The organization:

a.	Uses software and associated documentation in accordance with contract agreements and copyright laws;

b.	Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

c.	Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Supplemental guidance

Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.

cf AC-17: REMOTE ACCESS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

(a)	uses software and associated documentation in accordance with contract agreements and copyright laws;

(b)	tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and

(c)	controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.

Assessment: EXAMINE

Configuration management policy

procedures addressing software usage restrictions

configuration management plan

security plan

software contract agreements and copyright laws

site license documentation

list of software usage restrictions

software license tracking reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

organizational personnel operating, using, and/or maintaining the information system

organizational personnel with software license management responsibilities

Assessment: TEST

Organizational process for tracking the use of software protected by quantity licenses

organization process for controlling/documenting the use of peer-to-peer file sharing technology

automated mechanisms implementing software license tracking

automated mechanisms implementing and controlling the use of peer-to-peer files sharing technology

Control enhancements

CM-10 (1) OPEN SOURCE SOFTWARE

Label: INSERT into cm-10..1.

Parameter: cm-10_prm_1 organization-defined restrictions

Control

The organization establishes the following restrictions on the use of open source software: cm-10_prm_1 INSERT into cm-10..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.

Objectives

Determine if the organization:

[1]	defines restrictions on the use of open source software; and

[2]	establishes organization-defined restrictions on the use of open source software.

Assessment: EXAMINE

Configuration management policy

procedures addressing restrictions on use of open source software

configuration management plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational process for restricting the use of open source software

automated mechanisms implementing restrictions on the use of open source software

References: None

CM-11 USER-INSTALLED SOFTWARE

Label: INSERT into cm-11_smt_a (CM-11a.)

Parameter: cm-11_prm_1 organization-defined policies

Label: INSERT into cm-11_smt_b (CM-11b.)

Parameter: cm-11_prm_2 organization-defined methods

Label: INSERT into cm-11_smt_c (CM-11c.)

Parameter: cm-11_prm_3 organization-defined frequency

Control

The organization:

a.	Establishes cm-11_prm_1 INSERT into cm-11_smt_a (CM-11a.) [NO PARAMETER VALUE GIVEN] governing the installation of software by users;

b.	Enforces software installation policies through cm-11_prm_2 INSERT into cm-11_smt_b (CM-11b.) [NO PARAMETER VALUE GIVEN] ; and

c.	Monitors policy compliance at cm-11_prm_3 INSERT into cm-11_smt_c (CM-11c.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved “app stores” Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.

cf AC-3: ACCESS ENFORCEMENT

cf CM-2: BASELINE CONFIGURATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-6: CONFIGURATION SETTINGS

cf CM-7: LEAST FUNCTIONALITY

cf PL-4: RULES OF BEHAVIOR

Objectives

Determine if the organization:

(a)

[1]	defines policies to govern the installation of software by users;

[2]	establishes organization-defined policies governing the installation of software by users;

(b)

[1]	defines methods to enforce software installation policies;

[2]	enforces software installation policies through organization-defined methods;

(c)

[1]	defines frequency to monitor policy compliance; and

[2]	monitors policy compliance at organization-defined frequency.

Assessment: EXAMINE

Configuration management policy

procedures addressing user installed software

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

list of rules governing user installed software

information system monitoring records

information system audit records

other relevant documents or records

continuous monitoring strategy

Assessment: INTERVIEW

Organizational personnel with responsibilities for governing user-installed software

organizational personnel operating, using, and/or maintaining the information system

organizational personnel monitoring compliance with user-installed software policy

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes governing user-installed software on the information system

automated mechanisms enforcing rules/methods for governing the installation of software by users

automated mechanisms monitoring policy compliance

Control enhancements

CM-11 (1) ALERTS FOR UNAUTHORIZED INSTALLATIONS

Label: INSERT into cm-11..1.

Parameter: cm-11_prm_4 organization-defined personnel or roles

Control

The information system alerts cm-11_prm_4 INSERT into cm-11..1. [NO PARAMETER VALUE GIVEN] when the unauthorized installation of software is detected.

Supplemental guidance

cf CA-7: CONTINUOUS MONITORING

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if:

[1]	the organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and

[2]	the information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.

Assessment: EXAMINE

Configuration management policy

procedures addressing user installed software

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for governing user-installed software

organizational personnel operating, using, and/or maintaining the information system

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes governing user-installed software on the information system

automated mechanisms for alerting personnel/roles when unauthorized installation of software is detected

CM-11 (2) PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS

Control

The information system prohibits user installation of software without explicit privileged status.

Supplemental guidance

Privileged status can be obtained, for example, by serving in the role of system administrator.

cf AC-6: LEAST PRIVILEGE

Objective

Determine if the information system prohibits user installation of software without explicit privileged status.

Assessment: EXAMINE

Configuration management policy

procedures addressing user installed software

configuration management plan

security plan

information system design documentation

information system configuration settings and associated documentation

alerts/notifications of unauthorized software installations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for governing user-installed software

organizational personnel operating, using, and/or maintaining the information system

Assessment: TEST

Organizational processes governing user-installed software on the information system

automated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)

References: None

CONTINGENCY PLANNING

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Label: INSERT into cp-1_smt_a (CP-1a.)

Parameter: cp-1_prm_1 organization-defined personnel or roles

Label: INSERT into cp-1_smt_b.1 (CP-1b.1.)

Parameter: cp-1_prm_2 organization-defined frequency

Label: INSERT into cp-1_smt_b.2 (CP-1b.2.)

Parameter: cp-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to cp-1_prm_1 INSERT into cp-1_smt_a (CP-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and

Reviews and updates the current:

1.	Contingency planning policy cp-1_prm_2 INSERT into cp-1_smt_b.1 (CP-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Contingency planning procedures cp-1_prm_3 INSERT into cp-1_smt_b.2 (CP-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if:

(a)(1)

[1]

the organization develops and documents a contingency planning policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;

[3]	the organization disseminates the contingency planning policy to organization-defined personnel or roles;

(a)(2)

[1]	the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;

[2]	the organization defines personnel or roles to whom the procedures are to be disseminated;

[3]	the organization disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	the organization defines the frequency to review and update the current contingency planning policy;

[2]	the organization reviews and updates the current contingency planning with the organization-defined frequency;

(b)(2)

[1]	the organization defines the frequency to review and update the current contingency planning procedures; and

[2]	the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.

Assessment: EXAMINE

Contingency planning policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning responsibilities

organizational personnel with information security responsibilities

References

cf Federal Continuity Directive 1

cf NIST Special Publication 800-12

cf NIST Special Publication 800-34

cf NIST Special Publication 800-100

CP-2 CONTINGENCY PLAN

Label: INSERT into cp-2_smt_a.6 (CP-2a.6.)

Parameter: cp-2_prm_1 organization-defined personnel or roles

Label: INSERT into cp-2_smt_b (CP-2b.)

Parameter: cp-2_prm_2 organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

Label: INSERT into cp-2_smt_d (CP-2d.)

Parameter: cp-2_prm_3 organization-defined frequency

Label: INSERT into cp-2_smt_f (CP-2f.)

Parameter: cp-2_prm_4 organization-defined key contingency personnel (identified by name and/or by role) and organizational elements

Control

The organization:

Develops a contingency plan for the information system that:

1.	Identifies essential missions and business functions and associated contingency requirements;

2.	Provides recovery objectives, restoration priorities, and metrics;

3.	Addresses contingency roles, responsibilities, assigned individuals with contact information;

4.	Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

5.	Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and

6.	Is reviewed and approved by cp-2_prm_1 INSERT into cp-2_smt_a.6 (CP-2a.6.) [NO PARAMETER VALUE GIVEN] ;

b.	Distributes copies of the contingency plan to cp-2_prm_2 INSERT into cp-2_smt_b (CP-2b.) [NO PARAMETER VALUE GIVEN] ;

c.	Coordinates contingency planning activities with incident handling activities;

d.	Reviews the contingency plan for the information system cp-2_prm_3 INSERT into cp-2_smt_d (CP-2d.) [NO PARAMETER VALUE GIVEN] ;

e.	Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;

f.	Communicates contingency plan changes to cp-2_prm_4 INSERT into cp-2_smt_f (CP-2f.) [NO PARAMETER VALUE GIVEN] ; and

g.	Protects the contingency plan from unauthorized disclosure and modification.

Supplemental guidance

Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

cf CP-6: ALTERNATE STORAGE SITE

cf CP-7: ALTERNATE PROCESSING SITE

cf CP-8: TELECOMMUNICATIONS SERVICES

cf CP-9: INFORMATION SYSTEM BACKUP

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf IR-4: INCIDENT HANDLING

cf IR-8: INCIDENT RESPONSE PLAN

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

cf PM-11: MISSION/BUSINESS PROCESS DEFINITION

Objectives

Determine if the organization:

(a)

develops and documents a contingency plan for the information system that:

(1)	identifies essential missions and business functions and associated contingency requirements;

(2)

[1]	provides recovery objectives;

[2]	provides restoration priorities;

[3]	provides metrics;

(3)

[1]	addresses contingency roles;

[2]	addresses contingency responsibilities;

[3]	addresses assigned individuals with contact information;

(4)	addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;

(5)	addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;

(6)

[1]	defines personnel or roles to review and approve the contingency plan for the information system;

[2]	is reviewed and approved by organization-defined personnel or roles;

(b)

[1]	defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;

[2]	distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;

(c)	coordinates contingency planning activities with incident handling activities;

(d)

[1]	defines a frequency to review the contingency plan for the information system;

[2]	reviews the contingency plan with the organization-defined frequency;

(e)

updates the contingency plan to address:

[1]	changes to the organization, information system, or environment of operation;

[2]	problems encountered during plan implementation, execution, and testing;

(f)

[1]	defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;

[2]	communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and

(g)	protects the contingency plan from unauthorized disclosure and modification.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

security plan

evidence of contingency plan reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan development, review, update, and protection

automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan

Control enhancements

CP-2 (1) COORDINATE WITH RELATED PLANS

Control

The organization coordinates contingency plan development with organizational elements responsible for related plans.

Supplemental guidance

Objective

Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

business contingency plans

disaster recovery plans

continuity of operations plans

crisis communications plans

critical infrastructure plans

cyber incident response plan

insider threat implementation plans

occupant emergency plans

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

personnel with responsibility for related plans

CP-2 (2) CAPACITY PLANNING

Control

The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

Supplemental guidance

Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.

Objectives

Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:

[1]	information processing;

[2]	telecommunications; and

[3]	environmental support.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

capacity planning documents

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

CP-2 (3) RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS

Label: INSERT into cp-2..3.

Parameter: cp-2_prm_5 organization-defined time period

Control

The organization plans for the resumption of essential missions and business functions within cp-2_prm_5 INSERT into cp-2..3. [NO PARAMETER VALUE GIVEN] of contingency plan activation.

Supplemental guidance

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.

cf PE-12: EMERGENCY LIGHTING

Objectives

Determine if the organization:

[1]	defines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and

[2]	plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

security plan

business impact assessment

other related plans

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for resumption of missions and business functions

CP-2 (4) RESUME ALL MISSIONS / BUSINESS FUNCTIONS

Label: INSERT into cp-2..4.

Parameter: cp-2_prm_6 organization-defined time period

Control

The organization plans for the resumption of all missions and business functions within cp-2_prm_6 INSERT into cp-2..4. [NO PARAMETER VALUE GIVEN] of contingency plan activation.

Supplemental guidance

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.

cf PE-12: EMERGENCY LIGHTING

Objectives

Determine if the organization:

[1]	defines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and

[2]	plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

security plan

business impact assessment

other related plans

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for resumption of missions and business functions

CP-2 (5) CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS

Control

The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.

Supplemental guidance

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).

cf PE-12: EMERGENCY LIGHTING

Objectives

Determine if the organization:

[1]	plans for the continuance of essential missions and business functions with little or no loss of operational continuity; and

[2]	sustains that operational continuity until full information system restoration at primary processing and/or storage sites.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

business impact assessment

primary processing site agreements

primary storage site agreements

alternate processing site agreements

alternate storage site agreements

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for continuing missions and business functions

CP-2 (6) ALTERNATE PROCESSING / STORAGE SITE

Control

The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.

Supplemental guidance

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).

cf PE-12: EMERGENCY LIGHTING

Objectives

Determine if the organization:

[1]	plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and

[2]	sustains that operational continuity through information system restoration to primary processing and/or storage sites.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

business impact assessment

alternate processing site agreements

alternate storage site agreements

contingency plan testing documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for transfer of essential missions and business functions to alternate processing/storage sites

CP-2 (7) COORDINATE WITH EXTERNAL SERVICE PROVIDERS

Control

The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

Supplemental guidance

When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

Objective

Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

contingency plans of external

service providers

service level agreements

security plan

contingency plan requirements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

external service providers

organizational personnel with information security responsibilities

CP-2 (8) IDENTIFY CRITICAL ASSETS

Control

The organization identifies critical information system assets supporting essential missions and business functions.

Supplemental guidance

Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.

cf SA-14: CRITICALITY ANALYSIS

cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Objective

Determine if the organization identifies critical information system assets supporting essential missions and business functions.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency operations for the information system

contingency plan

business impact assessment

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

References

cf Federal Continuity Directive 1

cf NIST Special Publication 800-34

CP-3 CONTINGENCY TRAINING

Label: INSERT into cp-3_smt_a (CP-3a.)

Parameter: cp-3_prm_1 organization-defined time period

Label: INSERT into cp-3_smt_c (CP-3c.)

Parameter: cp-3_prm_2 organization-defined frequency

Control

The organization provides contingency training to information system users consistent with assigned roles and responsibilities:

a.	Within cp-3_prm_1 INSERT into cp-3_smt_a (CP-3a.) [NO PARAMETER VALUE GIVEN] of assuming a contingency role or responsibility;

b.	When required by information system changes; and

c.	cp-3_prm_2 INSERT into cp-3_smt_c (CP-3c.) [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CP-2: CONTINGENCY PLAN

cf IR-2: INCIDENT RESPONSE TRAINING

Objectives

Determine if the organization:

(a)

[1]	defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;

[2]	provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;

(b)	provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;

(c)

[1]	defines the frequency for contingency training thereafter; and

[2]	provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency training

contingency plan

contingency training curriculum

contingency training material

security plan

contingency training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and training responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency training

Control enhancements

CP-3 (1) SIMULATED EVENTS

Control

The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.

Objective

Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency training

contingency plan

contingency training curriculum

contingency training material

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and training responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency training

automated mechanisms for simulating contingency events

CP-3 (2) AUTOMATED TRAINING ENVIRONMENTS

Control

The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.

Objective

Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency training

contingency plan

contingency training curriculum

contingency training material

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and training responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency training

automated mechanisms for providing contingency training environments

References

cf Federal Continuity Directive 1

cf NIST Special Publication 800-16

cf NIST Special Publication 800-50

CP-4 CONTINGENCY PLAN TESTING

Label: INSERT into cp-4_smt_a (CP-4a.)

Parameter: cp-4_prm_1 organization-defined frequency

Label: INSERT into cp-4_smt_a (CP-4a.)

Parameter: cp-4_prm_2 organization-defined tests

Control

The organization:

a.	Tests the contingency plan for the information system cp-4_prm_1 INSERT into cp-4_smt_a (CP-4a.) [NO PARAMETER VALUE GIVEN] using cp-4_prm_2 INSERT into cp-4_smt_a (CP-4a.) [NO PARAMETER VALUE GIVEN] to determine the effectiveness of the plan and the organizational readiness to execute the plan;

b.	Reviews the contingency plan test results; and

c.	Initiates corrective actions, if needed.

Supplemental guidance

Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

cf CP-2: CONTINGENCY PLAN

cf CP-3: CONTINGENCY TRAINING

cf IR-3: INCIDENT RESPONSE TESTING

Objectives

Determine if the organization:

(a)

[1]	defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;

[2]	defines a frequency to test the contingency plan for the information system;

[3]	tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;

(b)	reviews the contingency plan test results; and

(c)	initiates corrective actions, if needed.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency plan testing

contingency plan

security plan

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting the contingency plan and/or contingency plan testing

Control enhancements

CP-4 (1) COORDINATE WITH RELATED PLANS

Control

The organization coordinates contingency plan testing with organizational elements responsible for related plans.

Supplemental guidance

Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.

cf IR-8: INCIDENT RESPONSE PLAN

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

Objective

Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans.

Assessment: EXAMINE

Contingency planning policy

incident response policy

procedures addressing contingency plan testing

contingency plan testing documentation

contingency plan

business continuity plans

disaster recovery plans

continuity of operations plans

crisis communications plans

critical infrastructure plans

cyber incident response plans

occupant emergency plans

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan testing responsibilities

organizational personnel

personnel with responsibilities for related plans

organizational personnel with information security responsibilities

CP-4 (2) ALTERNATE PROCESSING SITE

Control

The organization tests the contingency plan at the alternate processing site:

(a)	To familiarize contingency personnel with the facility and available resources; and

(b)	To evaluate the capabilities of the alternate processing site to support contingency operations.

Supplemental guidance

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization tests the contingency plan at the alternate processing site to:

(a)	familiarize contingency personnel with the facility and available resources; and

(b)	evaluate the capabilities of the alternate processing site to support contingency operations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency plan testing

contingency plan

contingency plan test documentation

contingency plan test results

alternate processing site agreements

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting the contingency plan and/or contingency plan testing

CP-4 (3) AUTOMATED TESTING

Control

The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.

Supplemental guidance

Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.

Objective

Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.

Assessment: EXAMINE

Contingency planning policy

procedures addressing contingency plan testing

contingency plan

automated mechanisms supporting contingency plan testing

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan testing responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting contingency plan testing

CP-4 (4) FULL RECOVERY / RECONSTITUTION

Control

The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.

Supplemental guidance

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf SC-24: FAIL IN KNOWN STATE

Objectives

Determine if the organization:

[1]	includes a full recovery of the information system to a known state as part of contingency plan testing; and

[2]	includes a full reconstitution of the information system to a known state as part of contingency plan testing.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system recovery and reconstitution

contingency plan

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan testing responsibilities

organizational personnel with information system recovery and reconstitution responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting contingency plan testing

automated mechanisms supporting recovery and reconstitution of the information system

References

cf Federal Continuity Directive 1

cf FIPS Publication 199

cf NIST Special Publication 800-34

cf NIST Special Publication 800-84

CP-5 CONTINGENCY PLAN UPDATE

cf CP-2: CONTINGENCY PLAN

Control

Withdrawn: Incorporated into CP-2.

References: None

CP-6 ALTERNATE STORAGE SITE

Control

The organization:

a.	Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

b.	Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

Supplemental guidance

Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

cf CP-2: CONTINGENCY PLAN

cf CP-7: ALTERNATE PROCESSING SITE

cf CP-9: INFORMATION SYSTEM BACKUP

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf MP-4: MEDIA STORAGE

Objectives

Determine if the organization:

[1]	establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and

[2]	ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate storage sites

contingency plan

alternate storage site agreements

primary storage site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate storage site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for storing and retrieving information system backup information at the alternate storage site

automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site

Control enhancements

CP-6 (1) SEPARATION FROM PRIMARY SITE

Control

The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

Supplemental guidance

Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.

cf RA-3: RISK ASSESSMENT

Objective

Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate storage sites

contingency plan

alternate storage site

alternate storage site agreements

primary storage site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate storage site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

CP-6 (2) RECOVERY TIME / POINT OBJECTIVES

Control

The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

Objective

Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate storage sites

contingency plan

alternate storage site

alternate storage site agreements

alternate storage site configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan testing responsibilities

organizational personnel with responsibilities for testing related plans

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for contingency plan testing

automated mechanisms supporting recovery time/point objectives

CP-6 (3) ACCESSIBILITY

Control

The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

Supplemental guidance

Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

[1]	identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and

[2]	outlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate storage sites

contingency plan

alternate storage site

list of potential accessibility problems to alternate storage site

mitigation actions for accessibility problems to alternate storage site

organizational risk assessments

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate storage site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-34

CP-7 ALTERNATE PROCESSING SITE

Label: INSERT into cp-7_smt_a (CP-7a.)

Parameter: cp-7_prm_1 organization-defined information system operations

Label: INSERT into cp-7_smt_a (CP-7a.)

Parameter: cp-7_prm_2 organization-defined time period consistent with recovery time and recovery point objectives

Control

The organization:

Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of cp-7_prm_1 INSERT into cp-7_smt_a (CP-7a.) [NO PARAMETER VALUE GIVEN] for essential missions/business functions within cp-7_prm_2 INSERT into cp-7_smt_a (CP-7a.) [NO PARAMETER VALUE GIVEN] when the primary processing capabilities are unavailable;

b.	Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

c.	Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

Supplemental guidance

Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.

cf CP-2: CONTINGENCY PLAN

cf CP-6: ALTERNATE STORAGE SITE

cf CP-8: TELECOMMUNICATIONS SERVICES

cf CP-9: INFORMATION SYSTEM BACKUP

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf MA-6: TIMELY MAINTENANCE

Objectives

Determine if the organization:

(a)

[1]	defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;

[2]	defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;

[3]

establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;

(b)

[1]	ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or

[2]	ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and

(c)	ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site agreements

primary processing site agreements

spare equipment and supplies inventory at alternate processing site

equipment and supply contracts

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for recovery at the alternate site

automated mechanisms supporting and/or implementing recovery at the alternate processing site

Control enhancements

CP-7 (1) SEPARATION FROM PRIMARY SITE

Control

The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.

Supplemental guidance

Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.

cf RA-3: RISK ASSESSMENT

Objective

Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site

alternate processing site agreements

primary processing site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate processing site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

CP-7 (2) ACCESSIBILITY

Control

The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

Supplemental guidance

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

[1]	identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and

[2]	outlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site

alternate processing site agreements

primary processing site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate processing site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

CP-7 (3) PRIORITY OF SERVICE

Control

The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).

Supplemental guidance

Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.

Objective

Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site agreements

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate processing site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for acquisitions/contractual agreements

CP-7 (4) PREPARATION FOR USE

Control

The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

Supplemental guidance

Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

Objective

Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site

alternate processing site agreements

alternate processing site configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan alternate processing site responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing recovery at the alternate processing site

CP-7 (5) EQUIVALENT INFORMATION SECURITY SAFEGUARDS

cf CP-7: ALTERNATE PROCESSING SITE

Control

Withdrawn: Incorporated into CP-7.

CP-7 (6) INABILITY TO RETURN TO PRIMARY SITE

Control

The organization plans and prepares for circumstances that preclude returning to the primary processing site.

Objective

Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate processing sites

contingency plan

alternate processing site

alternate processing site agreements

alternate processing site configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system reconstitution responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-34

CP-8 TELECOMMUNICATIONS SERVICES

Label: INSERT into cp-8

Parameter: cp-8_prm_1 organization-defined information system operations

Label: INSERT into cp-8

Parameter: cp-8_prm_2 organization-defined time period

Control

The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of cp-8_prm_1 INSERT into cp-8 [NO PARAMETER VALUE GIVEN] for essential missions and business functions within cp-8_prm_2 INSERT into cp-8 [NO PARAMETER VALUE GIVEN] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Supplemental guidance

This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.

cf CP-2: CONTINGENCY PLAN

cf CP-6: ALTERNATE STORAGE SITE

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization:

[1]	defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;

[2]	defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and

[3]

establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate telecommunications services

contingency plan

primary and alternate telecommunications service agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan telecommunications responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for acquisitions/contractual agreements

Assessment: TEST

Automated mechanisms supporting telecommunications

Control enhancements

CP-8 (1) PRIORITY OF SERVICE PROVISIONS

Control

The organization:

(a)	Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and

(b)	Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.

Supplemental guidance

Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.

Objectives

Determine if the organization:

[1]	develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and

[2]	requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.

Assessment: EXAMINE

Contingency planning policy

procedures addressing primary and alternate telecommunications services

contingency plan

primary and alternate telecommunications service agreements

Telecommunications Service Priority documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan telecommunications responsibilities

organizational personnel with information system recovery responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for acquisitions/contractual agreements

Assessment: TEST

Automated mechanisms supporting telecommunications

CP-8 (2) SINGLE POINTS OF FAILURE

Control

The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

Objective

Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

Assessment: EXAMINE

Contingency planning policy

procedures addressing primary and alternate telecommunications services

contingency plan

primary and alternate telecommunications service agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan telecommunications responsibilities

organizational personnel with information system recovery responsibilities

primary and alternate telecommunications service providers

organizational personnel with information security responsibilities

CP-8 (3) SEPARATION OF PRIMARY / ALTERNATE PROVIDERS

Control

The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

Supplemental guidance

Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.

Objective

Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

Assessment: EXAMINE

Contingency planning policy

procedures addressing primary and alternate telecommunications services

contingency plan

primary and alternate telecommunications service agreements

alternate telecommunications service provider site

primary telecommunications service provider site

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency plan telecommunications responsibilities

organizational personnel with information system recovery responsibilities

primary and alternate telecommunications service providers

organizational personnel with information security responsibilities

CP-8 (4) PROVIDER CONTINGENCY PLAN

Label: INSERT into cp-8..4._smt_c (CP-8 (4)(c))

Parameter: cp-8_prm_3 organization-defined frequency

Control

The organization:

(a)	Requires primary and alternate telecommunications service providers to have contingency plans;

(b)	Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and

(c)	Obtains evidence of contingency testing/training by providers cp-8_prm_3 INSERT into cp-8..4._smt_c (CP-8 (4)(c)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.

Objectives

Determine if the organization:

(a)

[1]	requires primary telecommunications service provider to have contingency plans;

[2]	requires alternate telecommunications service provider(s) to have contingency plans;

(b)	reviews provider contingency plans to ensure that the plans meet organizational contingency requirements;

(c)

[1]	defines the frequency to obtain evidence of contingency testing/training by providers; and

[2]	obtains evidence of contingency testing/training by providers with the organization-defined frequency.

Assessment: EXAMINE

Contingency planning policy

procedures addressing primary and alternate telecommunications services

contingency plan

provider contingency plans

evidence of contingency testing/training by providers

primary and alternate telecommunications service agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

primary and alternate telecommunications service providers

organizational personnel with information security responsibilities

organizational personnel with responsibility for acquisitions/contractual agreements

CP-8 (5) ALTERNATE TELECOMMUNICATION SERVICE TESTING

Label: INSERT into cp-8..5.

Parameter: cp-8_prm_4 organization-defined frequency

Control

The organization tests alternate telecommunication services cp-8_prm_4 INSERT into cp-8..5. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines the frequency to test alternate telecommunication services; and

[2]	tests alternate telecommunication services with the organization-defined frequency.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate telecommunications services

contingency plan

evidence of testing alternate telecommunications services

alternate telecommunications service agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, plan implementation, and testing responsibilities

alternate telecommunications service providers

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting testing alternate telecommunications services

References

cf NIST Special Publication 800-34

cf National Communications Systems Directive 3-10

cf http://www.dhs.gov/telecommunications-service-priority-tsp

CP-9 INFORMATION SYSTEM BACKUP

Label: INSERT into cp-9_smt_a (CP-9a.)

Parameter: cp-9_prm_1 organization-defined frequency consistent with recovery time and recovery point objectives

Label: INSERT into cp-9_smt_b (CP-9b.)

Parameter: cp-9_prm_2 organization-defined frequency consistent with recovery time and recovery point objectives

Label: INSERT into cp-9_smt_c (CP-9c.)

Parameter: cp-9_prm_3 organization-defined frequency consistent with recovery time and recovery point objectives

Control

The organization:

a.	Conducts backups of user-level information contained in the information system cp-9_prm_1 INSERT into cp-9_smt_a (CP-9a.) [NO PARAMETER VALUE GIVEN] ;

b.	Conducts backups of system-level information contained in the information system cp-9_prm_2 INSERT into cp-9_smt_b (CP-9b.) [NO PARAMETER VALUE GIVEN] ;

c.	Conducts backups of information system documentation including security-related documentation cp-9_prm_3 INSERT into cp-9_smt_c (CP-9c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Protects the confidentiality, integrity, and availability of backup information at storage locations.

Supplemental guidance

System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.

cf CP-2: CONTINGENCY PLAN

cf CP-6: ALTERNATE STORAGE SITE

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization:

(a)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;

[2]	conducts backups of user-level information contained in the information system with the organization-defined frequency;

(b)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;

[2]	conducts backups of system-level information contained in the information system with the organization-defined frequency;

(c)

[1]	defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;

[2]	conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and

(d)	protects the confidentiality, integrity, and availability of backup information at storage locations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

backup storage location(s)

information system backup logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for conducting information system backups

automated mechanisms supporting and/or implementing information system backups

Control enhancements

CP-9 (1) TESTING FOR RELIABILITY / INTEGRITY

Label: INSERT into cp-9..1.

Parameter: cp-9_prm_4 organization-defined frequency

Control

The organization tests backup information cp-9_prm_4 INSERT into cp-9..1. [NO PARAMETER VALUE GIVEN] to verify media reliability and information integrity.

Supplemental guidance

cf CP-4: CONTINGENCY PLAN TESTING

Objectives

Determine if the organization:

[1]	defines the frequency to test backup information to verify media reliability and information integrity; and

[2]	tests backup information with the organization-defined frequency to verify media reliability and information integrity.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup test results

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for conducting information system backups

automated mechanisms supporting and/or implementing information system backups

CP-9 (2) TEST RESTORATION USING SAMPLING

Control

The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.

Supplemental guidance

cf CP-4: CONTINGENCY PLAN TESTING

Objective

Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup test results

contingency plan test documentation

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with contingency planning/contingency plan testing responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for conducting information system backups

automated mechanisms supporting and/or implementing information system backups

CP-9 (3) SEPARATE STORAGE FOR CRITICAL INFORMATION

Label: INSERT into cp-9..3.

Parameter: cp-9_prm_5 organization-defined critical information system software and other security-related information

Control

The organization stores backup copies of cp-9_prm_5 INSERT into cp-9..3. [NO PARAMETER VALUE GIVEN] in a separate facility or in a fire-rated container that is not collocated with the operational system.

Supplemental guidance

Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.

cf CM-2: BASELINE CONFIGURATION

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

Objectives

Determine if the organization:

[1]

[a]	defines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or

[b]	defines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and

[2]	stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

backup storage location(s)

information system backup configurations and associated documentation

information system backup logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

CP-9 (4) PROTECTION FROM UNAUTHORIZED MODIFICATION

cf CP-9: INFORMATION SYSTEM BACKUP

Control

Withdrawn: Incorporated into CP-9.

CP-9 (5) TRANSFER TO ALTERNATE STORAGE SITE

Label: INSERT into cp-9..5.

Parameter: cp-9_prm_6 organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives

Control

The organization transfers information system backup information to the alternate storage site cp-9_prm_6 INSERT into cp-9..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.

Objectives

Determine if the organization:

[1]	defines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;

[2]	defines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and

[3]	transfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup logs or records

evidence of system backup information transferred to alternate storage site

alternate storage site agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for transferring information system backups to the alternate storage site

automated mechanisms supporting and/or implementing information system backups

automated mechanisms supporting and/or implementing information transfer to the alternate storage site

CP-9 (6) REDUNDANT SECONDARY SYSTEM

Control

The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.

Supplemental guidance

cf CP-7: ALTERNATE PROCESSING SITE

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

Objectives

Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:

[1]	is not collocated with the primary system; and

[2]	can be activated without loss of information or disruption to operations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup test results

contingency plan test results

contingency plan test documentation

redundant secondary system for information system backups

location(s) of redundant secondary backup system(s)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for the redundant secondary system

Assessment: TEST

Organizational processes for maintaining redundant secondary systems

automated mechanisms supporting and/or implementing information system backups

automated mechanisms supporting and/or implementing information transfer to a redundant secondary system

CP-9 (7) DUAL AUTHORIZATION

Label: INSERT into cp-9..7.

Parameter: cp-9_prm_7 organization-defined backup information

Control

The organization enforces dual authorization for the deletion or destruction of cp-9_prm_7 INSERT into cp-9..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.

cf AC-3: ACCESS ENFORCEMENT

cf MP-2: MEDIA ACCESS

Objectives

Determine if the organization:

[1]	defines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and

[2]	enforces dual authorization for the deletion or destruction of organization-defined backup information.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system design documentation

information system configuration settings and associated documentation

system generated list of dual authorization credentials or rules

logs or records of deletion or destruction of backup information

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system backup responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing dual authorization

automated mechanisms supporting and/or implementing deletion/destruction of backup information

References

cf NIST Special Publication 800-34

CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

Control

The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.

Supplemental guidance

Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.

cf CA-2: SECURITY ASSESSMENTS

cf CA-6: SECURITY AUTHORIZATION

cf CA-7: CONTINUOUS MONITORING

cf CP-2: CONTINGENCY PLAN

cf CP-6: ALTERNATE STORAGE SITE

cf CP-7: ALTERNATE PROCESSING SITE

cf CP-9: INFORMATION SYSTEM BACKUP

cf SC-24: FAIL IN KNOWN STATE

Objectives

Determine if the organization provides for:

[1]

the recovery of the information system to a known state after:

[a]	a disruption;

[b]	a compromise; or

[c]	a failure;

[2]

the reconstitution of the information system to a known state after:

[a]	a disruption;

[b]	a compromise; or

[c]	a failure.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system backup

contingency plan

information system backup test results

contingency plan test results

contingency plan test documentation

redundant secondary system for information system backups

location(s) of redundant secondary backup system(s)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes implementing information system recovery and reconstitution operations

automated mechanisms supporting and/or implementing information system recovery and reconstitution operations

Control enhancements

CP-10 (1) CONTINGENCY PLAN TESTING

cf CP-4: CONTINGENCY PLAN TESTING

Control

Withdrawn: Incorporated into CP-4.

CP-10 (2) TRANSACTION RECOVERY

Control

The information system implements transaction recovery for systems that are transaction-based.

Supplemental guidance

Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.

Objective

Determine if the information system implements transaction recovery for systems that are transaction-based.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system recovery and reconstitution

contingency plan

information system design documentation

information system configuration settings and associated documentation

contingency plan test documentation

contingency plan test results

information system transaction recovery records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for transaction recovery

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing transaction recovery capability

CP-10 (3) COMPENSATING SECURITY CONTROLS

Chapter 3

Control

Withdrawn: Addressed through tailoring procedures.

CP-10 (4) RESTORE WITHIN TIME PERIOD

Label: INSERT into cp-10..4.

Parameter: cp-10_prm_1 organization-defined restoration time-periods

Control

The organization provides the capability to restore information system components within cp-10_prm_1 INSERT into cp-10..4. [NO PARAMETER VALUE GIVEN] from configuration-controlled and integrity-protected information representing a known, operational state for the components.

Supplemental guidance

Restoration of information system components includes, for example, reimaging which restores components to known, operational states.

cf CM-2: BASELINE CONFIGURATION

Objectives

Determine if the organization:

[1]	defines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and

[2]	provides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system recovery and reconstitution

contingency plan

information system design documentation

information system configuration settings and associated documentation

contingency plan test documentation

contingency plan test results

evidence of information system recovery and reconstitution operations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system recovery and reconstitution responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing recovery/reconstitution of information system information

CP-10 (5) FAILOVER CAPABILITY

cf SI-13: PREDICTABLE FAILURE PREVENTION

Control

Withdrawn: Incorporated into SI-13.

CP-10 (6) COMPONENT PROTECTION

Control

The organization protects backup and restoration hardware, firmware, and software.

Supplemental guidance

Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf PE-3: PHYSICAL ACCESS CONTROL

Objectives

Determine if the organization protects backup and restoration:

[1]

hardware;

[2]	firmware; and

[3]

software.

Assessment: EXAMINE

Contingency planning policy

procedures addressing information system recovery and reconstitution

contingency plan

information system design documentation

information system configuration settings and associated documentation

logical access credentials

physical access credentials

logical access authorization records

physical access authorization records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system recovery and reconstitution responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for protecting backup and restoration hardware, firmware, and software

automated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software

References

cf Federal Continuity Directive 1

cf NIST Special Publication 800-34

CP-11 ALTERNATE COMMUNICATIONS PROTOCOLS

Label: INSERT into cp-11

Parameter: cp-11_prm_1 organization-defined alternative communications protocols

Control

The information system provides the capability to employ cp-11_prm_1 INSERT into cp-11 [NO PARAMETER VALUE GIVEN] in support of maintaining continuity of operations.

Supplemental guidance

Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.

Objectives

Determine if:

[1]	the organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and

[2]	the information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternative communications protocols

contingency plan

continuity of operations plan

information system design documentation

information system configuration settings and associated documentation

list of alternative communications protocols supporting continuity of operations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with contingency planning and plan implementation responsibilities

organizational personnel with continuity of operations planning and plan implementation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms employing alternative communications protocols

References: None

CP-12 SAFE MODE

Label: INSERT into cp-12

Parameter: cp-12_prm_1 organization-defined conditions

Label: INSERT into cp-12

Parameter: cp-12_prm_2 organization-defined restrictions of safe mode of operation

Control

The information system, when cp-12_prm_1 INSERT into cp-12 [NO PARAMETER VALUE GIVEN] are detected, enters a safe mode of operation with cp-12_prm_2 INSERT into cp-12 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.

Objectives

Determine if:

[1]	the organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;

[2]	the organization defines restrictions of safe mode of operation; and

[3]	the information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.

Assessment: EXAMINE

Contingency planning policy

procedures addressing safe mode of operation for the information system

contingency plan

information system design documentation

information system configuration settings and associated documentation

information system administration manuals

information system operation manuals

information system installation manuals

contingency plan test records

incident handling records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operation responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms implementing safe mode of operation

References: None

CP-13 ALTERNATIVE SECURITY MECHANISMS

Label: INSERT into cp-13

Parameter: cp-13_prm_1 organization-defined alternative or supplemental security mechanisms

Label: INSERT into cp-13

Parameter: cp-13_prm_2 organization-defined security functions

Control

The organization employs cp-13_prm_1 INSERT into cp-13 [NO PARAMETER VALUE GIVEN] for satisfying cp-13_prm_2 INSERT into cp-13 [NO PARAMETER VALUE GIVEN] when the primary means of implementing the security function is unavailable or compromised.

Supplemental guidance

This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization’s standard means for secure remote authentication, is compromised.

cf CP-2: CONTINGENCY PLAN

Objectives

Determine if the organization:

[1]	defines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;

[2]	defines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and

[3]	employs organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.

Assessment: EXAMINE

Contingency planning policy

procedures addressing alternate security mechanisms

contingency plan

continuity of operations plan

information system design documentation

information system configuration settings and associated documentation

contingency plan test records

contingency plan test results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Information system capability implementing alternative security mechanisms

References: None

IDENTIFICATION AND AUTHENTICATION

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Label: INSERT into ia-1_smt_a (IA-1a.)

Parameter: ia-1_prm_1 organization-defined personnel or roles

Label: INSERT into ia-1_smt_b.1 (IA-1b.1.)

Parameter: ia-1_prm_2 organization-defined frequency

Label: INSERT into ia-1_smt_b.2 (IA-1b.2.)

Parameter: ia-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ia-1_prm_1 INSERT into ia-1_smt_a (IA-1a.) [NO PARAMETER VALUE GIVEN] :

1.	An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and

Reviews and updates the current:

1.	Identification and authentication policy ia-1_prm_2 INSERT into ia-1_smt_b.1 (IA-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Identification and authentication procedures ia-1_prm_3 INSERT into ia-1_smt_b.2 (IA-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an identification and authentication policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the identification and authentication policy is to be disseminated; and

[3]	disseminates the identification and authentication policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current identification and authentication policy;

[2]	reviews and updates the current identification and authentication policy with the organization-defined frequency; and

(b)(2)

[1]	defines the frequency to review and update the current identification and authentication procedures; and

[2]	reviews and updates the current identification and authentication procedures with the organization-defined frequency.

Assessment: EXAMINE

Identification and authentication policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identification and authentication responsibilities

organizational personnel with information security responsibilities

References

cf FIPS Publication 201

cf NIST Special Publication 800-12

cf NIST Special Publication 800-63

cf NIST Special Publication 800-73

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

cf NIST Special Publication 800-100

IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Control

The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).

Supplemental guidance

Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Objective

Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with account management responsibilities

system developers

Assessment: TEST

Organizational processes for uniquely identifying and authenticating users

automated mechanisms supporting and/or implementing identification and authentication capability

Control enhancements

IA-2 (1) NETWORK ACCESS TO PRIVILEGED ACCOUNTS

Control

The information system implements multifactor authentication for network access to privileged accounts.

Supplemental guidance

cf AC-6: LEAST PRIVILEGE

Objective

Determine if the information system implements multifactor authentication for network access to privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (2) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS

Control

The information system implements multifactor authentication for network access to non-privileged accounts.

Objective

Determine if the information system implements multifactor authentication for network access to non-privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (3) LOCAL ACCESS TO PRIVILEGED ACCOUNTS

Control

The information system implements multifactor authentication for local access to privileged accounts.

Supplemental guidance

cf AC-6: LEAST PRIVILEGE

Objective

Determine if the information system implements multifactor authentication for local access to privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (4) LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS

Control

The information system implements multifactor authentication for local access to non-privileged accounts.

Objective

Determine if the information system implements multifactor authentication for local access to non-privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (5) GROUP AUTHENTICATION

Control

The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.

Supplemental guidance

Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.

Objective

Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing authentication capability for group accounts

IA-2 (6) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE

Label: INSERT into ia-2..6.

Parameter: ia-2_prm_1 organization-defined strength of mechanism requirements

Control

The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_1 INSERT into ia-2..6. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf AC-6: LEAST PRIVILEGE

Objectives

Determine if:

[1]	the information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

[2]	the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and

[3]	the information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (7) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE

Label: INSERT into ia-2..7.

Parameter: ia-2_prm_2 organization-defined strength of mechanism requirements

Control

The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_2 INSERT into ia-2..7. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

[2]	the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and

[3]	the information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing multifactor authentication capability

IA-2 (8) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT

Control

The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.

Supplemental guidance

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.

Objective

Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of privileged information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms supporting and/or implementing replay resistant authentication mechanisms

IA-2 (9) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT

Control

The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.

Supplemental guidance

Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.

Objective

Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of non-privileged information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms supporting and/or implementing replay resistant authentication mechanisms

IA-2 (10) SINGLE SIGN-ON

Label: INSERT into ia-2..10.

Parameter: ia-2_prm_3 organization-defined information system accounts and services

Control

The information system provides a single sign-on capability for ia-2_prm_3 INSERT into ia-2..10. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.

Objectives

Determine if:

[1]	the organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and

[2]	the information system provides a single sign-on capability for organization-defined information system accounts and services.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing single sign-on capability for information system accounts and services

procedures addressing identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts and services requiring single sign-on capability

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services

IA-2 (11) REMOTE ACCESS - SEPARATE DEVICE

Label: INSERT into ia-2..11.

Parameter: ia-2_prm_4 organization-defined strength of mechanism requirements

Control

The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_prm_4 INSERT into ia-2..11. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.

cf AC-6: LEAST PRIVILEGE

Objectives

Determine if:

[1]	the information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

[2]	the information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;

[3]	the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;

[4]	the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;

[5]	the information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and

[6]	the information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of privileged and non-privileged information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

IA-2 (12) ACCEPTANCE OF PIV CREDENTIALS

Control

The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.

Supplemental guidance

This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

cf AU-2: AUDIT EVENTS

cf PE-3: PHYSICAL ACCESS CONTROL

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the information system:

[1]	accepts Personal Identity Verification (PIV) credentials; and

[2]	electronically verifies Personal Identity Verification (PIV) credentials.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

PIV verification records

evidence of PIV credentials

PIV credential authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials

IA-2 (13) OUT-OF-BAND AUTHENTICATION

Label: INSERT into ia-2..13.

Parameter: ia-2_prm_5 organization-defined out-of-band authentication

Label: INSERT into ia-2..13.

Parameter: ia-2_prm_6 organization-defined conditions

Control

The information system implements ia-2_prm_5 INSERT into ia-2..13. [NO PARAMETER VALUE GIVEN] under ia-2_prm_6 INSERT into ia-2..13. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.

cf IA-10: ADAPTIVE IDENTIFICATION AND AUTHENTICATION

cf IA-11: RE-AUTHENTICATION

cf SC-37: OUT-OF-BAND CHANNELS

Objectives

Determine if:

[1]	the organization defines out-of-band authentication to be implemented by the information system;

[2]	the organization defines conditions under which the information system implements organization-defined out-of-band authentication; and

[3]	the information system implements organization-defined out-of-band authentication under organization-defined conditions.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

system-generated list of out-of-band authentication paths

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing out-of-band authentication capability

References

cf HSPD-12

cf OMB Memorandum 04-04

cf OMB Memorandum 06-16

cf OMB Memorandum 11-11

cf FIPS Publication 201

cf NIST Special Publication 800-63

cf NIST Special Publication 800-73

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

cf FICAM Roadmap and Implementation Guidance

cf http://idmanagement.gov

IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION

Label: INSERT into ia-3

Parameter: ia-3_prm_1 organization-defined specific and/or types of devices

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

local

remote

network

Control

The information system uniquely identifies and authenticates ia-3_prm_1 INSERT into ia-3 [NO PARAMETER VALUE GIVEN] before establishing a ia-3_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } local remote network [NO PARAMETER VALUE GIVEN] connection.

Supplemental guidance

Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CA-3: SYSTEM INTERCONNECTIONS

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

Objectives

Determine if:

[1]

the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection; and

[2]

the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing device identification and authentication

information system design documentation

list of devices requiring unique identification and authentication

device connection reports

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with operational responsibilities for device identification and authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing device identification and authentication capability

Control enhancements

IA-3 (1) CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION

Label: INSERT into ia-3..1.

Parameter: ia-3_prm_3 organization-defined specific devices and/or types of devices

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

local

remote

network

Control

The information system authenticates ia-3_prm_3 INSERT into ia-3..1. [NO PARAMETER VALUE GIVEN] before establishing ia-3_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } local remote network [NO PARAMETER VALUE GIVEN] connection using bidirectional authentication that is cryptographically based.

Supplemental guidance

A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]

the organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection;

[2]

the information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:

[a]	a local connection;

[b]	a remote connection; and/or

[c]	a network connection.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing device identification and authentication

information system design documentation

list of devices requiring unique identification and authentication

device connection reports

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with operational responsibilities for device identification and authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing device authentication capability

cryptographically based bidirectional authentication mechanisms

IA-3 (2) CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION

cf IA-3 (1): CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION

Control

Withdrawn: Incorporated into IA-3 (1).

IA-3 (3) DYNAMIC ADDRESS ALLOCATION

Label: INSERT into ia-3..3._smt_a (IA-3 (3)(a))

Parameter: ia-3_prm_5 organization-defined lease information and lease duration

Control

The organization:

(a)	Standardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with ia-3_prm_5 INSERT into ia-3..3._smt_a (IA-3 (3)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Audits lease information when assigned to a device.

Supplemental guidance

DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.

cf AU-2: AUDIT EVENTS

cf AU-3: CONTENT OF AUDIT RECORDS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-12: AUDIT GENERATION

Objectives

Determine if the organization:

(a)

[1]	defines lease information to be employed to standardize dynamic address allocation for devices;

[2]	defines lease duration to be employed to standardize dynamic address allocation for devices;

[3]	standardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;

[4]	standardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and

(b)	audits lease information when assigned to a device.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing device identification and authentication

information system design documentation

information system configuration settings and associated documentation

evidence of lease information and lease duration assigned to devices

device connection reports

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with operational responsibilities for device identification and authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing device identification and authentication capability

automated mechanisms supporting and/or implementing dynamic address allocation

automated mechanisms supporting and/or implanting auditing of lease information

IA-3 (4) DEVICE ATTESTATION

Label: INSERT into ia-3..4.

Parameter: ia-3_prm_6 organization-defined configuration management process

Control

The organization ensures that device identification and authentication based on attestation is handled by ia-3_prm_6 INSERT into ia-3..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.

Objectives

Determine if the organization:

[1]	defines configuration management process to be employed to handle device identification and authentication based on attestation; and

[2]	ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing device identification and authentication

procedures addressing device configuration management

information system design documentation

information system configuration settings and associated documentation

configuration management records

change control records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with operational responsibilities for device identification and authentication

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing device identification and authentication capability

automated mechanisms supporting and/or implementing configuration management

cryptographic mechanisms supporting device attestation

References: None

IA-4 IDENTIFIER MANAGEMENT

Label: INSERT into ia-4_smt_a (IA-4a.)

Parameter: ia-4_prm_1 organization-defined personnel or roles

Label: INSERT into ia-4_smt_d (IA-4d.)

Parameter: ia-4_prm_2 organization-defined time period

Label: INSERT into ia-4_smt_e (IA-4e.)

Parameter: ia-4_prm_3 organization-defined time period of inactivity

Control

The organization manages information system identifiers by:

a.	Receiving authorization from ia-4_prm_1 INSERT into ia-4_smt_a (IA-4a.) [NO PARAMETER VALUE GIVEN] to assign an individual, group, role, or device identifier;

b.	Selecting an identifier that identifies an individual, group, role, or device;

c.	Assigning the identifier to the intended individual, group, role, or device;

d.	Preventing reuse of identifiers for ia-4_prm_2 INSERT into ia-4_smt_d (IA-4d.) [NO PARAMETER VALUE GIVEN] ; and

e.	Disabling the identifier after ia-4_prm_3 INSERT into ia-4_smt_e (IA-4e.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.

cf AC-2: ACCOUNT MANAGEMENT

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-5: AUTHENTICATOR MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf SC-37: OUT-OF-BAND CHANNELS

Objectives

Determine if the organization manages information system identifiers by:

(a)

[1]

defining personnel or roles from whom authorization must be received to assign:

[a]	an individual identifier;

[b]	a group identifier;

[c]	a role identifier; and/or

[d]	a device identifier;

[2]

receiving authorization from organization-defined personnel or roles to assign:

[a]	an individual identifier;

[b]	a group identifier;

[c]	a role identifier; and/or

[d]	a device identifier;

(b)

selecting an identifier that identifies:

[1]	an individual;

[2]

a group;

[3]	a role; and/or

[4]

a device;

(c)

assigning the identifier to the intended:

[1]	individual;

[2]

group;

[3]	role; and/or

[4]

device;

(d)

[1]	defining a time period for preventing reuse of identifiers;

[2]	preventing reuse of identifiers for the organization-defined time period;

(e)

[1]	defining a time period of inactivity to disable the identifier; and

[2]	disabling the identifier after the organization-defined time period of inactivity.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

security plan

information system design documentation

information system configuration settings and associated documentation

list of information system accounts

list of identifiers generated from physical access control devices

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

Control enhancements

IA-4 (1) PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS

Control

The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.

Supplemental guidance

Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.

cf AT-2: SECURITY AWARENESS TRAINING

Objective

Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

IA-4 (2) SUPERVISOR AUTHORIZATION

Control

The organization requires that the registration process to receive an individual identifier includes supervisor authorization.

Objective

Determine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

supervisors responsible for authorizing identifier registration

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

IA-4 (3) MULTIPLE FORMS OF CERTIFICATION

Control

The organization requires multiple forms of certification of individual identification be presented to the registration authority.

Supplemental guidance

Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.

Objective

Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

IA-4 (4) IDENTIFY USER STATUS

Label: INSERT into ia-4..4.

Parameter: ia-4_prm_4 organization-defined characteristic identifying individual status

Control

The organization manages individual identifiers by uniquely identifying each individual as ia-4_prm_4 INSERT into ia-4..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.

cf AT-2: SECURITY AWARENESS TRAINING

Objectives

Determine if the organization:

[1]	defines a characteristic to be used to identify individual status; and

[2]	manages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

list of characteristics identifying individual status

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

IA-4 (5) DYNAMIC MANAGEMENT

Control

The information system dynamically manages identifiers.

Supplemental guidance

In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

cf AC-16: SECURITY ATTRIBUTES

Objective

Determine if the information system dynamically manages identifiers.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing dynamic identifier management

IA-4 (6) CROSS-ORGANIZATION MANAGEMENT

Label: INSERT into ia-4..6.

Parameter: ia-4_prm_5 organization-defined external organizations

Control

The organization coordinates with ia-4_prm_5 INSERT into ia-4..6. [NO PARAMETER VALUE GIVEN] for cross-organization management of identifiers.

Supplemental guidance

Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

Objectives

Determine if the organization:

[1]	defines external organizations with whom to coordinate cross-organization management of identifiers; and

[2]	coordinates with organization-defined external organizations for cross-organization management of identifiers.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identifier management

IA-4 (7) IN-PERSON REGISTRATION

Control

The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.

Supplemental guidance

In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.

Objective

Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

procedures addressing account management

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

References

cf FIPS Publication 201

cf NIST Special Publication 800-73

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

IA-5 AUTHENTICATOR MANAGEMENT

Label: INSERT into ia-5_smt_g (IA-5g.)

Parameter: ia-5_prm_1 organization-defined time period by authenticator type

Control

The organization manages information system authenticators by:

a.	Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;

b.	Establishing initial authenticator content for authenticators defined by the organization;

c.	Ensuring that authenticators have sufficient strength of mechanism for their intended use;

d.	Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;

e.	Changing default content of authenticators prior to information system installation;

f.	Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

g.	Changing/refreshing authenticators ia-5_prm_1 INSERT into ia-5_smt_g (IA-5g.) [NO PARAMETER VALUE GIVEN] ;

h.	Protecting authenticator content from unauthorized disclosure and modification;

i.	Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and

j.	Changing authenticators for group/role accounts when membership to those accounts changes.

Supplemental guidance

Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf CM-6: CONFIGURATION SETTINGS

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf PL-4: RULES OF BEHAVIOR

cf PS-5: PERSONNEL TRANSFER

cf PS-6: ACCESS AGREEMENTS

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-17: PUBLIC KEY INFRASTRUCTURE CERTIFICATES

cf SC-28: PROTECTION OF INFORMATION AT REST

Objectives

Determine if the organization manages information system authenticators by:

(a)

verifying, as part of the initial authenticator distribution, the identity of:

[1]	the individual receiving the authenticator;

[2]	the group receiving the authenticator;

[3]	the role receiving the authenticator; and/or

[4]	the device receiving the authenticator;

(b)	establishing initial authenticator content for authenticators defined by the organization;

(c)	ensuring that authenticators have sufficient strength of mechanism for their intended use;

(d)

[1]	establishing and implementing administrative procedures for initial authenticator distribution;

[2]	establishing and implementing administrative procedures for lost/compromised or damaged authenticators;

[3]	establishing and implementing administrative procedures for revoking authenticators;

(e)	changing default content of authenticators prior to information system installation;

(f)

[1]	establishing minimum lifetime restrictions for authenticators;

[2]	establishing maximum lifetime restrictions for authenticators;

[3]	establishing reuse conditions for authenticators;

(g)

[1]	defining a time period (by authenticator type) for changing/refreshing authenticators;

[2]	changing/refreshing authenticators with the organization-defined time period by authenticator type;

(h)

protecting authenticator content from unauthorized:

[1]	disclosure;

[2]	modification;

(i)

[1]	requiring individuals to take specific security safeguards to protect authenticators;

[2]	having devices implement specific security safeguards to protect authenticators; and

(j)	changing authenticators for group/role accounts when membership to those accounts changes.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

information system design documentation

information system configuration settings and associated documentation

list of information system authenticator types

change control records associated with managing information system authenticators

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

Control enhancements

IA-5 (1) PASSWORD-BASED AUTHENTICATION

Label: INSERT into ia-5..1._smt_a (IA-5 (1)(a))

Parameter: ia-5_prm_2 organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type

Label: INSERT into ia-5..1._smt_b (IA-5 (1)(b))

Parameter: ia-5_prm_3 organization-defined number

Label: INSERT into ia-5..1._smt_d (IA-5 (1)(d))

Parameter: ia-5_prm_4 organization-defined numbers for lifetime minimum, lifetime maximum

Label: INSERT into ia-5..1._smt_e (IA-5 (1)(e))

Parameter: ia-5_prm_5 organization-defined number

Control

The information system, for password-based authentication:

(a)	Enforces minimum password complexity of ia-5_prm_2 INSERT into ia-5..1._smt_a (IA-5 (1)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Enforces at least the following number of changed characters when new passwords are created: ia-5_prm_3 INSERT into ia-5..1._smt_b (IA-5 (1)(b)) [NO PARAMETER VALUE GIVEN] ;

(c)	Stores and transmits only cryptographically-protected passwords;

(d)	Enforces password minimum and maximum lifetime restrictions of ia-5_prm_4 INSERT into ia-5..1._smt_d (IA-5 (1)(d)) [NO PARAMETER VALUE GIVEN] ;

(e)	Prohibits password reuse for ia-5_prm_5 INSERT into ia-5..1._smt_e (IA-5 (1)(e)) [NO PARAMETER VALUE GIVEN] generations; and

(f)	Allows the use of a temporary password for system logons with an immediate change to a permanent password.

Supplemental guidance

This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.

cf IA-6: AUTHENTICATOR FEEDBACK

Objectives

Determine if, for password-based authentication:

(a)

[1]	the organization defines requirements for case sensitivity;

[2]	the organization defines requirements for number of characters;

[3]	the organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;

[4]	the organization defines minimum requirements for each type of character;

[5]	the information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;

(b)

[1]	the organization defines a minimum number of changed characters to be enforced when new passwords are created;

[2]	the information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;

(c)	the information system stores and transmits only encrypted representations of passwords;

(d)

[1]	the organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;

[2]	the organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;

[3]	the information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;

[4]	the information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;

(e)

[1]	the organization defines the number of password generations to be prohibited from password reuse;

[2]	the information system prohibits password reuse for the organization-defined number of generations; and

(f)	the information system allows the use of a temporary password for system logons with an immediate change to a permanent password.

Assessment: EXAMINE

Identification and authentication policy

password policy

procedures addressing authenticator management

security plan

information system design documentation

information system configuration settings and associated documentation

password configurations and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing password-based authenticator management capability

IA-5 (2) PKI-BASED AUTHENTICATION

Control

The information system, for PKI-based authentication:

(a)	Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;

(b)	Enforces authorized access to the corresponding private key;

(c)	Maps the authenticated identity to the account of the individual or group; and

(d)	Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.

Supplemental guidance

Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.

cf IA-6: AUTHENTICATOR FEEDBACK

Objectives

Determine if the information system, for PKI-based authentication:

(a)

[1]	validates certifications by constructing a certification path to an accepted trust anchor;

[2]	validates certifications by verifying a certification path to an accepted trust anchor;

[3]	includes checking certificate status information when constructing and verifying the certification path;

(b)	enforces authorized access to the corresponding private key;

(c)	maps the authenticated identity to the account of the individual or group; and

(d)	implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

information system design documentation

information system configuration settings and associated documentation

PKI certification validation records

PKI certification revocation lists

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with PKI-based, authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability

IA-5 (3) IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION

Label: INSERT into ia-5..3.

Parameter: ia-5_prm_6 organization-defined types of and/or specific authenticators

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

in person

by a trusted third party

Label: INSERT into ia-5..3.

Parameter: ia-5_prm_8 organization-defined registration authority

Label: INSERT into ia-5..3.

Parameter: ia-5_prm_9 organization-defined personnel or roles

Control

The organization requires that the registration process to receive ia-5_prm_6 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] be conducted ia-5_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } in person by a trusted third party [NO PARAMETER VALUE GIVEN] before ia-5_prm_8 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] with authorization by ia-5_prm_9 INSERT into ia-5..3. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines types of and/or specific authenticators to be received in person or by a trusted third party;

[2]	defines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;

[3]	defines personnel or roles responsible for authorizing organization-defined registration authority;

[4]

defines if the registration process is to be conducted:

[a]	in person; or

[b]	by a trusted third party; and

[5]	requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

registration process for receiving information system authenticators

list of authenticators requiring in-person registration

list of authenticators requiring trusted third party registration

authenticator registration documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

registration authority

organizational personnel with information security responsibilities

IA-5 (4) AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION

Label: INSERT into ia-5..4.

Parameter: ia-5_prm_10 organization-defined requirements

Control

The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy ia-5_prm_10 INSERT into ia-5..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

[1]	defines requirements to be satisfied by password authenticators; and

[2]	employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

information system design documentation

information system configuration settings and associated documentation

automated tools for evaluating password authenticators

password strength assessment results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing password-based authenticator management capability

automated tools for determining password strength

IA-5 (5) CHANGE AUTHENTICATORS PRIOR TO DELIVERY

Control

The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.

Supplemental guidance

This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.

Objectives

Determine if the organization requires developers/installers of information system components to:

[1]	provide unique authenticators prior to delivery/installation; or

[2]	change default authenticators prior to delivery/installation.

Assessment: EXAMINE

Identification and authentication policy

system and services acquisition policy

procedures addressing authenticator management

procedures addressing the integration of security requirements into the acquisition process

acquisition documentation

acquisition contracts for information system procurements or services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information system security, acquisition, and contracting responsibilities

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

IA-5 (6) PROTECTION OF AUTHENTICATORS

Control

The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.

Supplemental guidance

For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.

Objective

Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security categorization documentation for the information system

security assessments of authenticator protections

risk assessment results

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel implementing and/or maintaining authenticator protections

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

automated mechanisms protecting authenticators

IA-5 (7) NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS

Control

The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.

Supplemental guidance

Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).

Objectives

Determine if the organization ensures that unencrypted static authenticators are not:

[1]	embedded in applications;

[2]	embedded in access scripts; or

[3]	stored on function keys.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

information system design documentation

information system configuration settings and associated documentation

logical access scripts

application code reviews for detecting unencrypted static authenticators

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

automated mechanisms implementing authentication in applications

IA-5 (8) MULTIPLE INFORMATION SYSTEM ACCOUNTS

Label: INSERT into ia-5..8.

Parameter: ia-5_prm_11 organization-defined security safeguards

Control

The organization implements ia-5_prm_11 INSERT into ia-5..8. [NO PARAMETER VALUE GIVEN] to manage the risk of compromise due to individuals having accounts on multiple information systems.

Supplemental guidance

When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.

Objectives

Determine if the organization:

[1]	defines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and

[2]	implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

list of individuals having accounts on multiple information systems

list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing safeguards for authenticator management

IA-5 (9) CROSS-ORGANIZATION CREDENTIAL MANAGEMENT

Label: INSERT into ia-5..9.

Parameter: ia-5_prm_12 organization-defined external organizations

Control

The organization coordinates with ia-5_prm_12 INSERT into ia-5..9. [NO PARAMETER VALUE GIVEN] for cross-organization management of credentials.

Supplemental guidance

Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

Objectives

Determine if the organization:

[1]	defines external organizations with whom to coordinate cross-organizational management of credentials; and

[2]	coordinates with organization-defined external organizations for cross-organizational management of credentials.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

procedures addressing account management

security plan

information security agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing safeguards for authenticator management

IA-5 (10) DYNAMIC CREDENTIAL ASSOCIATION

Control

The information system dynamically provisions identities.

Supplemental guidance

Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

Objective

Determine if the information system dynamically provisions identifiers.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

security plan

information system design documentation

automated mechanisms providing dynamic binding of identifiers and authenticators

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identifier management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing identifier management capability

automated mechanisms implementing dynamic provisioning of identifiers

IA-5 (11) HARDWARE TOKEN-BASED AUTHENTICATION

Label: INSERT into ia-5..11.

Parameter: ia-5_prm_13 organization-defined token quality requirements

Control

The information system, for hardware token-based authentication, employs mechanisms that satisfy ia-5_prm_13 INSERT into ia-5..11. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.

Objectives

Determine if, for hardware token-based authentication:

[1]	the organization defines token quality requirements to be satisfied; and

[2]	the information system employs mechanisms that satisfy organization-defined token quality requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

information system design documentation

automated mechanisms employing hardware token-based authentication for the information system

list of token quality requirements

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing hardware token-based authenticator management capability

IA-5 (12) BIOMETRIC-BASED AUTHENTICATION

Label: INSERT into ia-5..12.

Parameter: ia-5_prm_14 organization-defined biometric quality requirements

Control

The information system, for biometric-based authentication, employs mechanisms that satisfy ia-5_prm_14 INSERT into ia-5..12. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.

Objectives

Determine if, for biometric-based authentication:

[1]	the organization defines biometric quality requirements to be satisfied; and

[2]	the information system employs mechanisms that satisfy organization-defined biometric quality requirements.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

information system design documentation

automated mechanisms employing biometric-based authentication for the information system

list of biometric quality requirements

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing biometric-based authenticator management capability

IA-5 (13) EXPIRATION OF CACHED AUTHENTICATORS

Label: INSERT into ia-5..13.

Parameter: ia-5_prm_15 organization-defined time period

Control

The information system prohibits the use of cached authenticators after ia-5_prm_15 INSERT into ia-5..13. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the organization defines the time period after which the information system is to prohibit the use of cached authenticators; and

[2]	the information system prohibits the use of cached authenticators after the organization-defined time period.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing authenticator management capability

IA-5 (14) MANAGING CONTENT OF PKI TRUST STORES

Control

The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.

Objectives

Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:

[1]

networks;

[2]	operating systems;

[3]	browsers; and

[4]	applications.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator management

security plan

organizational methodology for managing content of PKI trust stores across installed all platforms

information system design documentation

information system configuration settings and associated documentation

enterprise security architecture documentation

enterprise architecture documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with authenticator management responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing PKI-based authenticator management capability

automated mechanisms supporting and/or implementing the PKI trust store capability

IA-5 (15) FICAM-APPROVED PRODUCTS AND SERVICES

Control

The organization uses only FICAM-approved path discovery and validation products and services.

Supplemental guidance

Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.

Objective

Determine if the organization uses only FICAM-approved path discovery and validation products and services.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing identifier management

security plan

information system design documentation

automated mechanisms providing dynamic binding of identifiers and authenticators

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identification and authentication management responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing account management capability

automated mechanisms supporting and/or implementing identification and authentication management capability for the information system

References

cf OMB Memorandum 04-04

cf OMB Memorandum 11-11

cf FIPS Publication 201

cf NIST Special Publication 800-73

cf NIST Special Publication 800-63

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

cf FICAM Roadmap and Implementation Guidance

cf http://idmanagement.gov

IA-6 AUTHENTICATOR FEEDBACK

Control

The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

Supplemental guidance

The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.

cf PE-18: LOCATION OF INFORMATION SYSTEM COMPONENTS

Objective

Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing authenticator feedback

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication

References: None

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION

Control

The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

Supplemental guidance

Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objective

Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing cryptographic module authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for cryptographic module authentication

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic module authentication

References

cf FIPS Publication 140

cf http://csrc.nist.gov/groups/STM/cmvp/index.html

IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Control

The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).

Supplemental guidance

Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf MA-4: NONLOCAL MAINTENANCE

cf RA-3: RISK ASSESSMENT

cf SA-12: SUPPLY CHAIN PROTECTION

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Objective

Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of information system accounts

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

Control enhancements

IA-8 (1) ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES

Control

The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.

Supplemental guidance

This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.

cf AU-2: AUDIT EVENTS

cf PE-3: PHYSICAL ACCESS CONTROL

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the information system:

[1]	accepts Personal Identity Verification (PIV) credentials from other agencies; and

[2]	electronically verifies Personal Identity Verification (PIV) credentials from other agencies.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

PIV verification records

evidence of PIV credentials

PIV credential authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms that accept and verify PIV credentials

IA-8 (2) ACCEPTANCE OF THIRD-PARTY CREDENTIALS

Control

The information system accepts only FICAM-approved third-party credentials.

Supplemental guidance

This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.

cf AU-2: AUDIT EVENTS

Objective

Determine if the information system accepts only FICAM-approved third-party credentials.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization

third-party credential verification records

evidence of FICAM-approved third-party credentials

third-party credential authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms that accept FICAM-approved credentials

IA-8 (3) USE OF FICAM-APPROVED PRODUCTS

Label: INSERT into ia-8..3.

Parameter: ia-8_prm_1 organization-defined information systems

Control

The organization employs only FICAM-approved information system components in ia-8_prm_1 INSERT into ia-8..3. [NO PARAMETER VALUE GIVEN] to accept third-party credentials.

Supplemental guidance

This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the organization:

[1]	defines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and

[2]	employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.

Assessment: EXAMINE

Identification and authentication policy

system and services acquisition policy

procedures addressing user identification and authentication

procedures addressing the integration of security requirements into the acquisition process

information system design documentation

information system configuration settings and associated documentation

information system audit records

third-party credential validations

third-party credential authorizations

third-party credential records

list of FICAM-approved information system components procured and implemented by organization

acquisition documentation

acquisition contracts for information system procurements or services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

system/network administrators

organizational personnel with account management responsibilities

organizational personnel with information system security, acquisition, and contracting responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

IA-8 (4) USE OF FICAM-ISSUED PROFILES

Control

The information system conforms to FICAM-issued profiles.

Supplemental guidance

This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).

cf SA-4: ACQUISITION PROCESS

Objective

Determine if the information system conforms to FICAM-issued profiles.

Assessment: EXAMINE

Identification and authentication policy

system and services acquisition policy

procedures addressing user identification and authentication

procedures addressing the integration of security requirements into the acquisition process

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of FICAM-issued profiles and associated, approved protocols

acquisition documentation

acquisition contracts for information system procurements or services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms supporting and/or implementing conformance with FICAM-issued profiles

IA-8 (5) ACCEPTANCE OF PIV-I CREDENTIALS

Control

The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.

Supplemental guidance

This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

cf AU-2: AUDIT EVENTS

Objectives

Determine if the information system:

[1]	accepts Personal Identity Verification-I (PIV-I) credentials; and

[2]	electronically verifies Personal Identity Verification-I (PIV-I) credentials.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user identification and authentication

information system design documentation

information system configuration settings and associated documentation

information system audit records

PIV-I verification records

evidence of PIV-I credentials

PIV-I credential authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with account management responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

automated mechanisms that accept and verify PIV-I credentials

References

cf OMB Memorandum 04-04

cf OMB Memorandum 11-11

cf OMB Memorandum 10-06-2011

cf FICAM Roadmap and Implementation Guidance

cf FIPS Publication 201

cf NIST Special Publication 800-63

cf NIST Special Publication 800-116

cf National Strategy for Trusted Identities in Cyberspace

cf http://idmanagement.gov

IA-9 SERVICE IDENTIFICATION AND AUTHENTICATION

Label: INSERT into ia-9

Parameter: ia-9_prm_1 organization-defined information system services

Label: INSERT into ia-9

Parameter: ia-9_prm_2 organization-defined security safeguards

Control

The organization identifies and authenticates ia-9_prm_1 INSERT into ia-9 [NO PARAMETER VALUE GIVEN] using ia-9_prm_2 INSERT into ia-9 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.

Objectives

Determine if the organization:

[1]	defines information system services to be identified and authenticated using security safeguards;

[2]	defines security safeguards to be used to identify and authenticate organization-defined information system services; and

[3]	identifies and authenticates organization-defined information system services using organization-defined security safeguards.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing service identification and authentication

security plan

information system design documentation

security safeguards used to identify and authenticate information system services

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with identification and authentication responsibilities

Assessment: TEST

Security safeguards implementing service identification and authentication capability

Control enhancements

IA-9 (1) INFORMATION EXCHANGE

Control

The organization ensures that service providers receive, validate, and transmit identification and authentication information.

Objectives

Determine if the organization ensures that service providers:

[1]	receive identification and authentication information;

[2]	validate identification and authentication information; and

[3]	transmit identification and authentication information.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing service identification and authentication

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identification and authentication responsibilities

organizational personnel with information security responsibilities

system/network administrators

service providers

Assessment: TEST

Automated mechanisms implementing service identification and authentication capabilities

IA-9 (2) TRANSMISSION OF DECISIONS

Label: INSERT into ia-9..2.

Parameter: ia-9_prm_3 organization-defined services

Control

The organization ensures that identification and authentication decisions are transmitted between ia-9_prm_3 INSERT into ia-9..2. [NO PARAMETER VALUE GIVEN] consistent with organizational policies.

Supplemental guidance

For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Objectives

Determine if the organization:

[1]	defines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and

[2]	ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing service identification and authentication

security plan

information system design documentation

information system configuration settings and associated documentation

information system audit records

transmission records

transmission verification records

rules for identification and authentication transmission decisions between organizational services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with identification and authentication responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing service identification and authentication capabilities

References: None

IA-10 ADAPTIVE IDENTIFICATION AND AUTHENTICATION

Label: INSERT into ia-10

Parameter: ia-10_prm_1 organization-defined supplemental authentication techniques or mechanisms

Label: INSERT into ia-10

Parameter: ia-10_prm_2 organization-defined circumstances or situations

Control

The organization requires that individuals accessing the information system employ ia-10_prm_1 INSERT into ia-10 [NO PARAMETER VALUE GIVEN] under specific ia-10_prm_2 INSERT into ia-10 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;

[2]	defines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and

[3]	requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms

security plan

information system design documentation

information system configuration settings and associated documentation

supplemental identification and authentication techniques or mechanisms

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with identification and authentication responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

References: None

IA-11 RE-AUTHENTICATION

Label: INSERT into ia-11

Parameter: ia-11_prm_1 organization-defined circumstances or situations requiring re-authentication

Control

The organization requires users and devices to re-authenticate when ia-11_prm_1 INSERT into ia-11 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.

cf AC-11: SESSION LOCK

Objectives

Determine if the organization:

[1]	defines circumstances or situations requiring re-authentication;

[2]	requires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and

[3]	requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.

Assessment: EXAMINE

Identification and authentication policy

procedures addressing user and device re-authentication

security plan

information system design documentation

information system configuration settings and associated documentation

list of circumstances or situations requiring re-authentication

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system operations responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

organizational personnel with identification and authentication responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing identification and authentication capability

References: None

INCIDENT RESPONSE

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Label: INSERT into ir-1_smt_a (IR-1a.)

Parameter: ir-1_prm_1 organization-defined personnel or roles

Label: INSERT into ir-1_smt_b.1 (IR-1b.1.)

Parameter: ir-1_prm_2 organization-defined frequency

Label: INSERT into ir-1_smt_b.2 (IR-1b.2.)

Parameter: ir-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ir-1_prm_1 INSERT into ir-1_smt_a (IR-1a.) [NO PARAMETER VALUE GIVEN] :

1.	An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and

Reviews and updates the current:

1.	Incident response policy ir-1_prm_2 INSERT into ir-1_smt_b.1 (IR-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Incident response procedures ir-1_prm_3 INSERT into ir-1_smt_b.2 (IR-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an incident response policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the incident response policy is to be disseminated;

[3]	disseminates the incident response policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current incident response policy;

[2]	reviews and updates the current incident response policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current incident response procedures; and

[2]	reviews and updates the current incident response procedures with the organization-defined frequency.

Assessment: EXAMINE

Incident response policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-61

cf NIST Special Publication 800-83

cf NIST Special Publication 800-100

IR-2 INCIDENT RESPONSE TRAINING

Label: INSERT into ir-2_smt_a (IR-2a.)

Parameter: ir-2_prm_1 organization-defined time period

Label: INSERT into ir-2_smt_c (IR-2c.)

Parameter: ir-2_prm_2 organization-defined frequency

Control

The organization provides incident response training to information system users consistent with assigned roles and responsibilities:

a.	Within ir-2_prm_1 INSERT into ir-2_smt_a (IR-2a.) [NO PARAMETER VALUE GIVEN] of assuming an incident response role or responsibility;

b.	When required by information system changes; and

c.	ir-2_prm_2 INSERT into ir-2_smt_c (IR-2c.) [NO PARAMETER VALUE GIVEN] thereafter.

Supplemental guidance

Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CP-3: CONTINGENCY TRAINING

cf IR-8: INCIDENT RESPONSE PLAN

Objectives

Determine if the organization:

(a)

[1]	defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;

[2]	provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;

(b)	provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;

(c)

[1]	defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and

[2]	after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response training

incident response training curriculum

incident response training materials

security plan

incident response plan

security plan

incident response training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response training and operational responsibilities

organizational personnel with information security responsibilities

Control enhancements

IR-2 (1) SIMULATED EVENTS

Control

The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.

Objective

Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response training

incident response training curriculum

incident response training materials

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response training and operational responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that support and/or implement simulated events for incident response training

IR-2 (2) AUTOMATED TRAINING ENVIRONMENTS

Control

The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.

Objective

Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response training

incident response training curriculum

incident response training materials

automated mechanisms supporting incident response training

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response training and operational responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that provide a thorough and realistic incident response training environment

References

cf NIST Special Publication 800-16

cf NIST Special Publication 800-50

IR-3 INCIDENT RESPONSE TESTING

Label: INSERT into ir-3

Parameter: ir-3_prm_1 organization-defined frequency

Label: INSERT into ir-3

Parameter: ir-3_prm_2 organization-defined tests

Control

The organization tests the incident response capability for the information system ir-3_prm_1 INSERT into ir-3 [NO PARAMETER VALUE GIVEN] using ir-3_prm_2 INSERT into ir-3 [NO PARAMETER VALUE GIVEN] to determine the incident response effectiveness and documents the results.

Supplemental guidance

Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.

cf CP-4: CONTINGENCY PLAN TESTING

cf IR-8: INCIDENT RESPONSE PLAN

Objectives

Determine if the organization:

[1]	defines incident response tests to test the incident response capability for the information system;

[2]	defines the frequency to test the incident response capability for the information system; and

[3]	tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.

Assessment: EXAMINE

Incident response policy

contingency planning policy

procedures addressing incident response testing

procedures addressing contingency plan testing

incident response testing material

incident response test results

incident response test plan

incident response plan

contingency plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response testing responsibilities

organizational personnel with information security responsibilities

Control enhancements

IR-3 (1) AUTOMATED TESTING

Control

The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.

Supplemental guidance

Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.

cf AT-2: SECURITY AWARENESS TRAINING

Objective

Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.

Assessment: EXAMINE

Incident response policy

contingency planning policy

procedures addressing incident response testing

procedures addressing contingency plan testing

incident response testing documentation

incident response test results

incident response test plan

incident response plan

contingency plan

security plan

automated mechanisms supporting incident response tests

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response testing responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that more thoroughly and effectively test the incident response capability

IR-3 (2) COORDINATION WITH RELATED PLANS

Control

The organization coordinates incident response testing with organizational elements responsible for related plans.

Supplemental guidance

Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.

Objective

Determine if the organization coordinates incident response testing with organizational elements responsible for related plans.

Assessment: EXAMINE

Incident response policy

contingency planning policy

procedures addressing incident response testing

incident response testing documentation

incident response plan

business continuity plans

contingency plans

disaster recovery plans

continuity of operations plans

crisis communications plans

critical infrastructure plans

occupant emergency plans

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response testing responsibilities

organizational personnel with responsibilities for testing organizational plans related to incident response testing

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-84

cf NIST Special Publication 800-115

IR-4 INCIDENT HANDLING

Control

The organization:

a.	Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;

b.	Coordinates incident handling activities with contingency planning activities; and

c.	Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.

Supplemental guidance

Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf CM-6: CONFIGURATION SETTINGS

cf CP-2: CONTINGENCY PLAN

cf CP-4: CONTINGENCY PLAN TESTING

cf IR-2: INCIDENT RESPONSE TRAINING

cf IR-3: INCIDENT RESPONSE TESTING

cf IR-8: INCIDENT RESPONSE PLAN

cf PE-6: MONITORING PHYSICAL ACCESS

cf SC-5: DENIAL OF SERVICE PROTECTION

cf SC-7: BOUNDARY PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)

implements an incident handling capability for security incidents that includes:

[1]	preparation;

[2]	detection and analysis;

[3]	containment;

[4]	eradication;

[5]

recovery;

(b)	coordinates incident handling activities with contingency planning activities;

(c)

[1]

incorporates lessons learned from ongoing incident handling activities into:

[a]	incident response procedures;

[b]

training;

[c]	testing/exercises;

[2]

implements the resulting changes accordingly to:

[a]	incident response procedures;

[b]	training; and

[c]	testing/exercises.

Assessment: EXAMINE

Incident response policy

contingency planning policy

procedures addressing incident handling

incident response plan

contingency plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with contingency planning responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Incident handling capability for the organization

Control enhancements

IR-4 (1) AUTOMATED INCIDENT HANDLING PROCESSES

Control

The organization employs automated mechanisms to support the incident handling process.

Supplemental guidance

Automated mechanisms supporting incident handling processes include, for example, online incident management systems.

Objective

Determine if the organization employs automated mechanisms to support the incident handling process.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

automated mechanisms supporting incident handling

information system design documentation

information system configuration settings and associated documentation

information system audit records

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that support and/or implement the incident handling process

IR-4 (2) DYNAMIC RECONFIGURATION

Label: INSERT into ir-4..2.

Parameter: ir-4_prm_1 organization-defined information system components

Control

The organization includes dynamic reconfiguration of ir-4_prm_1 INSERT into ir-4..2. [NO PARAMETER VALUE GIVEN] as part of the incident response capability.

Supplemental guidance

Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

cf CM-2: BASELINE CONFIGURATION

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-4: SECURITY IMPACT ANALYSIS

Objectives

Determine if the organization:

[1]	defines information system components to be dynamically reconfigured as part of the incident response capability; and

[2]	includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

automated mechanisms supporting incident handling

list of system components to be dynamically reconfigured as part of incident response capability

information system design documentation

information system configuration settings and associated documentation

information system audit records

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response

IR-4 (3) CONTINUITY OF OPERATIONS

Label: INSERT into ir-4..3.

Parameter: ir-4_prm_2 organization-defined classes of incidents

Label: INSERT into ir-4..3.

Parameter: ir-4_prm_3 organization-defined actions to take in response to classes of incidents

Control

The organization identifies ir-4_prm_2 INSERT into ir-4..3. [NO PARAMETER VALUE GIVEN] and ir-4_prm_3 INSERT into ir-4..3. [NO PARAMETER VALUE GIVEN] to ensure continuation of organizational missions and business functions.

Supplemental guidance

Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.

Objectives

Determine if the organization:

[1]	defines classes of incidents requiring an organization-defined action to be taken;

[2]	defines actions to be taken in response to organization-defined classes of incidents; and

[3]	identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

incident response plan

security plan

list of classes of incidents

list of appropriate incident response actions

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms that support and/or implement continuity of operations

IR-4 (4) INFORMATION CORRELATION

Control

The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

Supplemental guidance

Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.

Objective

Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

incident response plan

security plan

automated mechanisms supporting incident and event correlation

information system design documentation

information system configuration settings and associated documentation

incident management correlation logs

event management correlation logs

security information and event management logs

incident management correlation reports

event management correlation reports

security information and event management reports

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

organizational personnel with whom incident information and individual incident responses are to be correlated

Assessment: TEST

Organizational processes for correlating incident information and individual incident responses

automated mechanisms that support and or implement correlation of incident response information with individual incident responses

IR-4 (5) AUTOMATIC DISABLING OF INFORMATION SYSTEM

Label: INSERT into ir-4..5.

Parameter: ir-4_prm_4 organization-defined security violations

Control

The organization implements a configurable capability to automatically disable the information system if ir-4_prm_4 INSERT into ir-4..5. [NO PARAMETER VALUE GIVEN] are detected.

Objectives

Determine if the organization:

[1]	defines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and

[2]	implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

automated mechanisms supporting incident handling

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

system developers

Assessment: TEST

Incident handling capability for the organization

automated mechanisms supporting and/or implementing automatic disabling of the information system

IR-4 (6) INSIDER THREATS - SPECIFIC CAPABILITIES

Control

The organization implements incident handling capability for insider threats.

Supplemental guidance

While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.

Objective

Determine if the organization implements incident handling capability for insider threats.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

automated mechanisms supporting incident handling

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Incident handling capability for the organization

IR-4 (7) INSIDER THREATS - INTRA-ORGANIZATION COORDINATION

Label: INSERT into ir-4..7.

Parameter: ir-4_prm_5 organization-defined components or elements of the organization

Control

The organization coordinates incident handling capability for insider threats across ir-4_prm_5 INSERT into ir-4..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.

Objectives

Determine if the organization:

[1]	defines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and

[2]	coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

organizational personnel/elements with whom incident handling capability is to be coordinated

Assessment: TEST

Organizational processes for coordinating incident handling

IR-4 (8) CORRELATION WITH EXTERNAL ORGANIZATIONS

Label: INSERT into ir-4..8.

Parameter: ir-4_prm_6 organization-defined external organizations

Label: INSERT into ir-4..8.

Parameter: ir-4_prm_7 organization-defined incident information

Control

The organization coordinates with ir-4_prm_6 INSERT into ir-4..8. [NO PARAMETER VALUE GIVEN] to correlate and share ir-4_prm_7 INSERT into ir-4..8. [NO PARAMETER VALUE GIVEN] to achieve a cross-organization perspective on incident awareness and more effective incident responses.

Supplemental guidance

The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization’s operations, assets, and individuals.

Objectives

Determine if the organization:

[1]	defines external organizations with whom organizational incident information is to be coordinated;

[2]	defines incident information to be correlated and shared with organization-defined external organizations; and

[3]	the organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

list of external organizations

records of incident handling coordination with external organizations

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

personnel from external organizations with whom incident response information is to be coordinated/shared/correlated

Assessment: TEST

Organizational processes for coordinating incident handling information with external organizations

IR-4 (9) DYNAMIC RESPONSE CAPABILITY

Label: INSERT into ir-4..9.

Parameter: ir-4_prm_8 organization-defined dynamic response capabilities

Control

The organization employs ir-4_prm_8 INSERT into ir-4..9. [NO PARAMETER VALUE GIVEN] to effectively respond to security incidents.

Supplemental guidance

This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

Objectives

Determine if the organization:

[1]	defines dynamic response capabilities to be employed to effectively respond to security incidents; and

[2]	employs organization-defined dynamic response capabilities to effectively respond to security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

automated mechanisms supporting dynamic response capabilities

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for dynamic response capability

automated mechanisms supporting and/or implementing the dynamic response capability for the organization

IR-4 (10) SUPPLY CHAIN COORDINATION

Control

The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.

Supplemental guidance

Objective

Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.

Assessment: EXAMINE

Incident response policy

procedures addressing supply chain coordination

acquisition contracts

service-level agreements

incident response plan

security plan

incident response plans of other organization involved in supply chain activities

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident handling responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain responsibilities

References

cf Executive Order 13587

cf NIST Special Publication 800-61

IR-5 INCIDENT MONITORING

Control

The organization tracks and documents information system security incidents.

Supplemental guidance

Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf IR-8: INCIDENT RESPONSE PLAN

cf PE-6: MONITORING PHYSICAL ACCESS

cf SC-5: DENIAL OF SERVICE PROTECTION

cf SC-7: BOUNDARY PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

[1]	tracks information system security incidents; and

[2]	documents information system security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident monitoring

incident response records and documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Incident monitoring capability for the organization

automated mechanisms supporting and/or implementing tracking and documenting of system security incidents

Control enhancements

IR-5 (1) AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS

Control

The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.

Supplemental guidance

Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf IR-4: INCIDENT HANDLING

Objectives

Determine if the organization employs automated mechanisms to assist in:

[1]	the tracking of security incidents;

[2]	the collection of incident information; and

[3]	the analysis of incident information.

Assessment: EXAMINE

Incident response policy

procedures addressing incident monitoring

automated mechanisms supporting incident monitoring

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information

References

cf NIST Special Publication 800-61

IR-6 INCIDENT REPORTING

Label: INSERT into ir-6_smt_a (IR-6a.)

Parameter: ir-6_prm_1 organization-defined time period

Label: INSERT into ir-6_smt_b (IR-6b.)

Parameter: ir-6_prm_2 organization-defined authorities

Control

The organization:

a.	Requires personnel to report suspected security incidents to the organizational incident response capability within ir-6_prm_1 INSERT into ir-6_smt_a (IR-6a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Reports security incident information to ir-6_prm_2 INSERT into ir-6_smt_b (IR-6b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.

cf IR-4: INCIDENT HANDLING

cf IR-5: INCIDENT MONITORING

cf IR-8: INCIDENT RESPONSE PLAN

Objectives

Determine if the organization:

(a)

[1]	defines the time period within which personnel report suspected security incidents to the organizational incident response capability;

[2]	requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;

(b)

[1]	defines authorities to whom security incident information is to be reported; and

[2]	reports security incident information to organization-defined authorities.

Assessment: EXAMINE

Incident response policy

procedures addressing incident reporting

incident reporting records and documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident reporting responsibilities

organizational personnel with information security responsibilities

personnel who have/should have reported incidents

personnel (authorities) to whom incident information is to be reported

Assessment: TEST

Organizational processes for incident reporting

automated mechanisms supporting and/or implementing incident reporting

Control enhancements

IR-6 (1) AUTOMATED REPORTING

Control

The organization employs automated mechanisms to assist in the reporting of security incidents.

Supplemental guidance

cf IR-7: INCIDENT RESPONSE ASSISTANCE

Objective

Determine if the organization employs automated mechanisms to assist in the reporting of security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident reporting

automated mechanisms supporting incident reporting

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident reporting responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for incident reporting

automated mechanisms supporting and/or implementing reporting of security incidents

IR-6 (2) VULNERABILITIES RELATED TO INCIDENTS

Label: INSERT into ir-6..2.

Parameter: ir-6_prm_3 organization-defined personnel or roles

Control

The organization reports information system vulnerabilities associated with reported security incidents to ir-6_prm_3 INSERT into ir-6..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and

[2]	reports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.

Assessment: EXAMINE

Incident response policy

procedures addressing incident reporting

incident response plan

security plan

security incident reports and associated information system vulnerabilities

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident reporting responsibilities

organizational personnel with information security responsibilities

system/network administrators

personnel to whom vulnerabilities associated with security incidents are to be reported

Assessment: TEST

Organizational processes for incident reporting

automated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents

IR-6 (3) COORDINATION WITH SUPPLY CHAIN

Control

The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.

Supplemental guidance

Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.

Objective

Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.

Assessment: EXAMINE

Incident response policy

procedures addressing supply chain coordination

acquisition contracts

service-level agreements

incident response plan

security plan

plans of other organization involved in supply chain activities

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident reporting responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain responsibilities

Assessment: TEST

Organizational processes for incident reporting

automated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain

References

cf NIST Special Publication 800-61

cf http://www.us-cert.gov

IR-7 INCIDENT RESPONSE ASSISTANCE

Control

The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

Supplemental guidance

Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.

cf AT-2: SECURITY AWARENESS TRAINING

cf IR-4: INCIDENT HANDLING

cf IR-6: INCIDENT REPORTING

cf IR-8: INCIDENT RESPONSE PLAN

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

Objectives

Determine if the organization provides an incident response support resource:

[1]	that is integral to the organizational incident response capability; and

[2]	that offers advice and assistance to users of the information system for the handling and reporting of security incidents.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response assistance

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response assistance and support responsibilities

organizational personnel with access to incident response support and assistance capability

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for incident response assistance

automated mechanisms supporting and/or implementing incident response assistance

Control enhancements

IR-7 (1) AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT

Control

The organization employs automated mechanisms to increase the availability of incident response-related information and support.

Supplemental guidance

Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

Objective

Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response assistance

automated mechanisms supporting incident response support and assistance

information system design documentation

information system configuration settings and associated documentation

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response support and assistance responsibilities

organizational personnel with access to incident response support and assistance capability

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for incident response assistance

automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support

IR-7 (2) COORDINATION WITH EXTERNAL PROVIDERS

Control

The organization:

(a)	Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and

(b)	Identifies organizational incident response team members to the external providers.

Supplemental guidance

External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.

Objectives

Determine if the organization:

(a)	establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and

(b)	identifies organizational incident response team members to the external providers.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response assistance

incident response plan

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response support and assistance responsibilities

external providers of information system protection capability

organizational personnel with information security responsibilities

References: None

IR-8 INCIDENT RESPONSE PLAN

Label: INSERT into ir-8_smt_a.8 (IR-8a.8.)

Parameter: ir-8_prm_1 organization-defined personnel or roles

Label: INSERT into ir-8_smt_b (IR-8b.)

Parameter: ir-8_prm_2 organization-defined incident response personnel (identified by name and/or by role) and organizational elements

Label: INSERT into ir-8_smt_c (IR-8c.)

Parameter: ir-8_prm_3 organization-defined frequency

Label: INSERT into ir-8_smt_e (IR-8e.)

Parameter: ir-8_prm_4 organization-defined incident response personnel (identified by name and/or by role) and organizational elements

Control

The organization:

Develops an incident response plan that:

1.	Provides the organization with a roadmap for implementing its incident response capability;

2.	Describes the structure and organization of the incident response capability;

3.	Provides a high-level approach for how the incident response capability fits into the overall organization;

4.	Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;

5.	Defines reportable incidents;

6.	Provides metrics for measuring the incident response capability within the organization;

7.	Defines the resources and management support needed to effectively maintain and mature an incident response capability; and

8.	Is reviewed and approved by ir-8_prm_1 INSERT into ir-8_smt_a.8 (IR-8a.8.) [NO PARAMETER VALUE GIVEN] ;

b.	Distributes copies of the incident response plan to ir-8_prm_2 INSERT into ir-8_smt_b (IR-8b.) [NO PARAMETER VALUE GIVEN] ;

c.	Reviews the incident response plan ir-8_prm_3 INSERT into ir-8_smt_c (IR-8c.) [NO PARAMETER VALUE GIVEN] ;

d.	Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;

e.	Communicates incident response plan changes to ir-8_prm_4 INSERT into ir-8_smt_e (IR-8e.) [NO PARAMETER VALUE GIVEN] ; and

f.	Protects the incident response plan from unauthorized disclosure and modification.

Supplemental guidance

It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

Objectives

Determine if the organization:

(a)

develops an incident response plan that:

(1)	provides the organization with a roadmap for implementing its incident response capability;

(2)	describes the structure and organization of the incident response capability;

(3)	provides a high-level approach for how the incident response capability fits into the overall organization;

(4)

meets the unique requirements of the organization, which relate to:

[1]

mission;

[2]

size;

[3]	structure;

[4]	functions;

(5)	defines reportable incidents;

(6)	provides metrics for measuring the incident response capability within the organization;

(7)	defines the resources and management support needed to effectively maintain and mature an incident response capability;

(8)

[1]	defines personnel or roles to review and approve the incident response plan;

[2]	is reviewed and approved by organization-defined personnel or roles;

(b)

[1]

[a]	defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;

[b]	defines organizational elements to whom copies of the incident response plan are to be distributed;

[2]	distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;

(c)

[1]	defines the frequency to review the incident response plan;

[2]	reviews the incident response plan with the organization-defined frequency;

(d)

updates the incident response plan to address system/organizational changes or problems encountered during plan:

[1]	implementation;

[2]	execution; or

[3]

testing;

(e)

[1]

[a]	defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;

[b]	defines organizational elements to whom incident response plan changes are to be communicated;

[2]	communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and

(f)	protects the incident response plan from unauthorized disclosure and modification.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response planning

incident response plan

records of incident response plan reviews and approvals

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response planning responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational incident response plan and related organizational processes

References

cf NIST Special Publication 800-61

IR-9 INFORMATION SPILLAGE RESPONSE

Label: INSERT into ir-9_smt_b (IR-9b.)

Parameter: ir-9_prm_1 organization-defined personnel or roles

Label: INSERT into ir-9_smt_f (IR-9f.)

Parameter: ir-9_prm_2 organization-defined actions

Control

The organization responds to information spills by:

a.	Identifying the specific information involved in the information system contamination;

b.	Alerting ir-9_prm_1 INSERT into ir-9_smt_b (IR-9b.) [NO PARAMETER VALUE GIVEN] of the information spill using a method of communication not associated with the spill;

c.	Isolating the contaminated information system or system component;

d.	Eradicating the information from the contaminated information system or component;

e.	Identifying other information systems or system components that may have been subsequently contaminated; and

f.	Performing other ir-9_prm_2 INSERT into ir-9_smt_f (IR-9f.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.

Objectives

Determine if the organization:

(a)	responds to information spills by identifying the specific information causing the information system contamination;

(b)

[1]	defines personnel to be alerted of the information spillage;

[2]	identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;

[3]	responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;

(c)	responds to information spills by isolating the contaminated information system;

(d)	responds to information spills by eradicating the information from the contaminated information system;

(e)	responds to information spills by identifying other information systems that may have been subsequently contaminated;

(f)

[1]	defines other actions to be performed in response to information spills; and

[2]	responds to information spills by performing other organization-defined actions.

Assessment: EXAMINE

Incident response policy

procedures addressing information spillage

incident response plan

records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage

list of actions to be performed regarding information spillage

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for information spillage response

automated mechanisms supporting and/or implementing information spillage response actions and related communications

Control enhancements

IR-9 (1) RESPONSIBLE PERSONNEL

Label: INSERT into ir-9..1.

Parameter: ir-9_prm_3 organization-defined personnel or roles

Control

The organization assigns ir-9_prm_3 INSERT into ir-9..1. [NO PARAMETER VALUE GIVEN] with responsibility for responding to information spills.

Objectives

Determine if the organization:

[1]	defines personnel with responsibility for responding to information spills; and

[2]	assigns organization-defined personnel with responsibility for responding to information spills.

Assessment: EXAMINE

Incident response policy

procedures addressing information spillage

incident response plan

list of personnel responsible for responding to information spillage

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

IR-9 (2) TRAINING

Label: INSERT into ir-9..2.

Parameter: ir-9_prm_4 organization-defined frequency

Control

The organization provides information spillage response training ir-9_prm_4 INSERT into ir-9..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines the frequency to provide information spillage response training; and

[2]	provides information spillage response training with the organization-defined frequency.

Assessment: EXAMINE

Incident response policy

procedures addressing information spillage response training

information spillage response training curriculum

information spillage response training materials

incident response plan

information spillage response training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response training responsibilities

organizational personnel with information security responsibilities

IR-9 (3) POST-SPILL OPERATIONS

Label: INSERT into ir-9..3.

Parameter: ir-9_prm_5 organization-defined procedures

Control

The organization implements ir-9_prm_5 INSERT into ir-9..3. [NO PARAMETER VALUE GIVEN] to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.

Supplemental guidance

Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.

Objectives

Determine if the organization:

[1]	defines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and

[2]	implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

procedures addressing information spillage

incident response plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for post-spill operations

IR-9 (4) EXPOSURE TO UNAUTHORIZED PERSONNEL

Label: INSERT into ir-9..4.

Parameter: ir-9_prm_6 organization-defined security safeguards

Control

The organization employs ir-9_prm_6 INSERT into ir-9..4. [NO PARAMETER VALUE GIVEN] for personnel exposed to information not within assigned access authorizations.

Supplemental guidance

Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and

[2]	employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.

Assessment: EXAMINE

Incident response policy

procedures addressing incident handling

procedures addressing information spillage

incident response plan

security safeguards regarding information spillage/exposure to unauthorized personnel

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for dealing with information exposed to unauthorized personnel

automated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations

References: None

IR-10 INTEGRATED INFORMATION SECURITY ANALYSIS TEAM

Control

The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.

Supplemental guidance

Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.

Objective

Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.

Assessment: EXAMINE

Incident response policy

procedures addressing incident response planning and security analysis team integration

incident response plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with incident response and information security analysis responsibilities

organizational personnel with information security responsibilities

organizational personnel participating on integrated security analysis teams

References: None

MAINTENANCE

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Label: INSERT into ma-1_smt_a (MA-1a.)

Parameter: ma-1_prm_1 organization-defined personnel or roles

Label: INSERT into ma-1_smt_b.1 (MA-1b.1.)

Parameter: ma-1_prm_2 organization-defined frequency

Label: INSERT into ma-1_smt_b.2 (MA-1b.2.)

Parameter: ma-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ma-1_prm_1 INSERT into ma-1_smt_a (MA-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and

Reviews and updates the current:

1.	System maintenance policy ma-1_prm_2 INSERT into ma-1_smt_b.1 (MA-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	System maintenance procedures ma-1_prm_3 INSERT into ma-1_smt_b.2 (MA-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system maintenance policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system maintenance policy is to be disseminated;

[3]	disseminates the system maintenance policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system maintenance policy;

[2]	reviews and updates the current system maintenance policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system maintenance procedures; and

[2]	reviews and updates the current system maintenance procedures with the organization-defined frequency.

Assessment: EXAMINE

Maintenance policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with maintenance responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

MA-2 CONTROLLED MAINTENANCE

Label: INSERT into ma-2_smt_c (MA-2c.)

Parameter: ma-2_prm_1 organization-defined personnel or roles

Label: INSERT into ma-2_smt_f (MA-2f.)

Parameter: ma-2_prm_2 organization-defined maintenance-related information

Control

The organization:

a.	Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

b.	Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

c.	Requires that ma-2_prm_1 INSERT into ma-2_smt_c (MA-2c.) [NO PARAMETER VALUE GIVEN] explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

d.	Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

e.	Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and

f.	Includes ma-2_prm_2 INSERT into ma-2_smt_f (MA-2f.) [NO PARAMETER VALUE GIVEN] in organizational maintenance records.

Supplemental guidance

This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-4: SECURITY IMPACT ANALYSIS

cf MA-4: NONLOCAL MAINTENANCE

cf MP-6: MEDIA SANITIZATION

cf PE-16: DELIVERY AND REMOVAL

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

(a)

[1]

schedules maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[2]

performs maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[3]

documents maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

[4]

reviews records of maintenance and repairs on information system components in accordance with:

[a]	manufacturer or vendor specifications; and/or

[b]	organizational requirements;

(b)

[1]	approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

[2]	monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;

(c)

[1]	defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

[2]	requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;

(d)	sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;

(e)	checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;

(f)

[1]	defines maintenance-related information to be included in organizational maintenance records; and

[2]	includes organization-defined maintenance-related information in organizational maintenance records.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing controlled information system maintenance

maintenance records

manufacturer/vendor maintenance specifications

equipment sanitization records

media sanitization records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

organizational personnel responsible for media sanitization

system/network administrators

Assessment: TEST

Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system

organizational processes for sanitizing information system components

automated mechanisms supporting and/or implementing controlled maintenance

automated mechanisms implementing sanitization of information system components

Control enhancements

MA-2 (1) RECORD CONTENT

cf MA-2: CONTROLLED MAINTENANCE

Control

Withdrawn: Incorporated into MA-2.

MA-2 (2) AUTOMATED MAINTENANCE ACTIVITIES

Control

The organization:

(a)	Employs automated mechanisms to schedule, conduct, and document maintenance and repairs; and

(b)	Produces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.

Supplemental guidance

cf CA-7: CONTINUOUS MONITORING

cf MA-3: MAINTENANCE TOOLS

Objectives

Determine if the organization:

(a)

employs automated mechanisms to:

[1]	schedule maintenance and repairs;

[2]	conduct maintenance and repairs;

[3]	document maintenance and repairs;

(b)

produces up-to-date, accurate, and complete records of all maintenance and repair actions:

[1]	requested;

[2]	scheduled;

[3]	in process; and

[4]	completed.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing controlled information system maintenance

automated mechanisms supporting information system maintenance activities

information system configuration settings and associated documentation

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms supporting and/or implementing controlled maintenance

automated mechanisms supporting and/or implementing production of records of maintenance and repair actions

References: None

MA-3 MAINTENANCE TOOLS

Control

The organization approves, controls, and monitors information system maintenance tools.

Supplemental guidance

This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch.

cf MA-2: CONTROLLED MAINTENANCE

cf MA-5: MAINTENANCE PERSONNEL

cf MP-6: MEDIA SANITIZATION

Objectives

Determine if the organization:

[1]	approves information system maintenance tools;

[2]	controls information system maintenance tools; and

[3]	monitors information system maintenance tools.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for approving, controlling, and monitoring maintenance tools

automated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools

Control enhancements

MA-3 (1) INSPECT TOOLS

Control

The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

Supplemental guidance

If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

maintenance tool inspection records

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for inspecting maintenance tools

automated mechanisms supporting and/or implementing inspection of maintenance tools

MA-3 (2) INSPECT MEDIA

Control

The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.

Supplemental guidance

If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

cf SI-3: MALICIOUS CODE PROTECTION

Objective

Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational process for inspecting media for malicious code

automated mechanisms supporting and/or implementing inspection of media used for maintenance

MA-3 (3) PREVENT UNAUTHORIZED REMOVAL

Label: INSERT into ma-3..3._smt_d (MA-3 (3)(d))

Parameter: ma-3_prm_1 organization-defined personnel or roles

Control

The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:

(a)	Verifying that there is no organizational information contained on the equipment;

(b)	Sanitizing or destroying the equipment;

(c)	Retaining the equipment within the facility; or

(d)	Obtaining an exemption from ma-3_prm_1 INSERT into ma-3..3._smt_d (MA-3 (3)(d)) [NO PARAMETER VALUE GIVEN] explicitly authorizing removal of the equipment from the facility.

Supplemental guidance

Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.

Objectives

Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:

(a)	verifying that there is no organizational information contained on the equipment;

(b)	sanitizing or destroying the equipment;

(c)	retaining the equipment within the facility; or

(d)

[1]	defining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and

[2]	obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

maintenance records

equipment sanitization records

media sanitization records

exemptions for equipment removal

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

organizational personnel responsible for media sanitization

Assessment: TEST

Organizational process for preventing unauthorized removal of information

automated mechanisms supporting media sanitization or destruction of equipment

automated mechanisms supporting verification of media sanitization

MA-3 (4) RESTRICTED TOOL USE

Control

The information system restricts the use of maintenance tools to authorized personnel only.

Supplemental guidance

This control enhancement applies to information systems that are used to carry out maintenance functions.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

Objective

Determine if the organization restricts the use of maintenance tools to authorized personnel only.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance tools

information system maintenance tools and associated documentation

list of personnel authorized to use maintenance tools

maintenance tool usage records

maintenance records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational process for restricting use of maintenance tools

automated mechanisms supporting and/or implementing restricted use of maintenance tools

References

cf NIST Special Publication 800-88

MA-4 NONLOCAL MAINTENANCE

Control

The organization:

a.	Approves and monitors nonlocal maintenance and diagnostic activities;

b.	Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;

c.	Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

d.	Maintains records for nonlocal maintenance and diagnostic activities; and

e.	Terminates session and network connections when nonlocal maintenance is completed.

Supplemental guidance

Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf AC-17: REMOTE ACCESS

cf AU-2: AUDIT EVENTS

cf AU-3: CONTENT OF AUDIT RECORDS

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf MA-2: CONTROLLED MAINTENANCE

cf MA-5: MAINTENANCE PERSONNEL

cf MP-6: MEDIA SANITIZATION

cf PL-2: SYSTEM SECURITY PLAN

cf SC-7: BOUNDARY PROTECTION

cf SC-10: NETWORK DISCONNECT

cf SC-17: PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Objectives

Determine if the organization:

(a)

[1]	approves nonlocal maintenance and diagnostic activities;

[2]	monitors nonlocal maintenance and diagnostic activities;

(b)

allows the use of nonlocal maintenance and diagnostic tools only:

[1]	as consistent with organizational policy;

[2]	as documented in the security plan for the information system;

(c)	employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;

(d)	maintains records for nonlocal maintenance and diagnostic activities;

(e)

[1]	terminates sessions when nonlocal maintenance or diagnostics is completed; and

[2]	terminates network connections when nonlocal maintenance or diagnostics is completed.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing nonlocal information system maintenance

security plan

information system design documentation

information system configuration settings and associated documentation

maintenance records

diagnostic records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for managing nonlocal maintenance

automated mechanisms implementing, supporting, and/or managing nonlocal maintenance

automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions

automated mechanisms for terminating nonlocal maintenance sessions and network connections

Control enhancements

MA-4 (1) AUDITING AND REVIEW

Label: INSERT into ma-4..1._smt_a (MA-4 (1)(a))

Parameter: ma-4_prm_1 organization-defined audit events

Control

The organization:

(a)	Audits nonlocal maintenance and diagnostic sessions ma-4_prm_1 INSERT into ma-4..1._smt_a (MA-4 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Reviews the records of the maintenance and diagnostic sessions.

Supplemental guidance

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-12: AUDIT GENERATION

Objectives

Determine if the organization:

(a)

[1]	defines audit events to audit nonlocal maintenance and diagnostic sessions;

[2]	audits organization-defined audit events for non-local maintenance and diagnostic sessions; and

(b)	reviews records of the maintenance and diagnostic sessions.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing nonlocal information system maintenance

list of audit events

information system configuration settings and associated documentation

maintenance records

diagnostic records

audit records

reviews of maintenance and diagnostic session records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

organizational personnel with audit and review responsibilities

system/network administrators

Assessment: TEST

Organizational processes for audit and review of nonlocal maintenance

automated mechanisms supporting and/or implementing audit and review of nonlocal maintenance

MA-4 (2) DOCUMENT NONLOCAL MAINTENANCE

Control

The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.

Objectives

Determine if the organization documents in the security plan for the information system:

[1]	the policies for the establishment and use of nonlocal maintenance and diagnostic connections; and

[2]	the procedures for the establishment and use of nonlocal maintenance and diagnostic connections.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing non-local information system maintenance

security plan

maintenance records

diagnostic records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

MA-4 (3) COMPARABLE SECURITY / SANITIZATION

Control

The organization:

(a)	Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or

(b)

Removes the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.

Supplemental guidance

Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.

cf MA-3: MAINTENANCE TOOLS

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)	requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or

(b)

[1]	removes the component to be serviced from the information system;

[2]	sanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and

[3]	inspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing nonlocal information system maintenance

service provider contracts and/or service-level agreements

maintenance records

inspection records

audit records

equipment sanitization records

media sanitization records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

information system maintenance provider

organizational personnel with information security responsibilities

organizational personnel responsible for media sanitization

system/network administrators

Assessment: TEST

Organizational processes for comparable security and sanitization for nonlocal maintenance

organizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance

automated mechanisms supporting and/or implementing component sanitization and inspection

MA-4 (4) AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS

Label: INSERT into ma-4..4._smt_a (MA-4 (4)(a))

Parameter: ma-4_prm_2 organization-defined authenticators that are replay resistant

Control

The organization protects nonlocal maintenance sessions by:

(a)	Employing ma-4_prm_2 INSERT into ma-4..4._smt_a (MA-4 (4)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)

Separating the maintenance sessions from other network sessions with the information system by either:

(1)	Physically separated communications paths; or

(2)	Logically separated communications paths based upon encryption.

Supplemental guidance

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization protects nonlocal maintenance sessions by:

(a)

[1]	defining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;

[2]	employing organization-defined authenticators that are replay resistant;

(b)

separating the maintenance sessions from other network sessions with the information system by either:

(1)	physically separated communications paths; or

(2)	logically separated communications paths based upon encryption.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing nonlocal information system maintenance

information system design documentation

information system configuration settings and associated documentation

maintenance records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

network engineers

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for protecting nonlocal maintenance sessions

automated mechanisms implementing replay resistant authenticators

automated mechanisms implementing logically separated/encrypted communications paths

MA-4 (5) APPROVALS AND NOTIFICATIONS

Label: INSERT into ma-4..5._smt_a (MA-4 (5)(a))

Parameter: ma-4_prm_3 organization-defined personnel or roles

Label: INSERT into ma-4..5._smt_b (MA-4 (5)(b))

Parameter: ma-4_prm_4 organization-defined personnel or roles

Control

The organization:

(a)	Requires the approval of each nonlocal maintenance session by ma-4_prm_3 INSERT into ma-4..5._smt_a (MA-4 (5)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Notifies ma-4_prm_4 INSERT into ma-4..5._smt_b (MA-4 (5)(b)) [NO PARAMETER VALUE GIVEN] of the date and time of planned nonlocal maintenance.

Supplemental guidance

Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.

Objectives

Determine if the organization:

(a)

[1]	defines personnel or roles required to approve each nonlocal maintenance session;

[2]	requires the approval of each nonlocal maintenance session by organization-defined personnel or roles;

(b)

[1]	defines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and

[2]	notifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing non-local information system maintenance

security plan

notifications supporting nonlocal maintenance sessions

maintenance records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with notification responsibilities

organizational personnel with approval responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for approving and notifying personnel regarding nonlocal maintenance

automated mechanisms supporting notification and approval of nonlocal maintenance

MA-4 (6) CRYPTOGRAPHIC PROTECTION

Control

The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

Supplemental guidance

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objective

Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing non-local information system maintenance

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms protecting nonlocal maintenance activities

maintenance records

diagnostic records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

network engineers

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications

MA-4 (7) REMOTE DISCONNECT VERIFICATION

Control

The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

Supplemental guidance

Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objective

Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing non-local information system maintenance

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms protecting nonlocal maintenance activities

maintenance records

diagnostic records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

network engineers

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions

References

cf FIPS Publication 140-2

cf FIPS Publication 197

cf FIPS Publication 201

cf NIST Special Publication 800-63

cf NIST Special Publication 800-88

cf CNSS Policy 15

MA-5 MAINTENANCE PERSONNEL

Control

The organization:

a.	Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;

b.	Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

c.	Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

Supplemental guidance

This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.

cf AC-2: ACCOUNT MANAGEMENT

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

cf MP-2: MEDIA ACCESS

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

(a)

[1]	establishes a process for maintenance personnel authorization;

[2]	maintains a list of authorized maintenance organizations or personnel;

(b)	ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and

(c)	designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

service provider contracts

service-level agreements

list of authorized personnel

maintenance records

access control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for authorizing and managing maintenance personnel

automated mechanisms supporting and/or implementing authorization of maintenance personnel

Control enhancements

MA-5 (1) INDIVIDUALS WITHOUT APPROPRIATE ACCESS

Control

The organization:

(a)

Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

(1)

Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;

(2)

Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and

(b)	Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.

Supplemental guidance

This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.

cf MP-6: MEDIA SANITIZATION

cf PL-2: SYSTEM SECURITY PLAN

Objectives

Determine if the organization:

(a)

implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:

(1)

maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:

[1]	are fully cleared;

[2]	have appropriate access authorizations;

[3]	are technically qualified;

(2)

prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:

[1]	all volatile information storage components within the information system are sanitized; and

[2]	all nonvolatile storage media are removed; or

[3]	all nonvolatile storage media are physically disconnected from the system and secured; and

(b)	develops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

information system media protection policy

physical and environmental protection policy

security plan

list of maintenance personnel requiring escort/supervision

maintenance records

access control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with personnel security responsibilities

organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

organizational personnel responsible for media sanitization

system/network administrators

Assessment: TEST

Organizational processes for managing maintenance personnel without appropriate access

automated mechanisms supporting and/or implementing alternative security safeguards

automated mechanisms supporting and/or implementing information storage component sanitization

MA-5 (2) SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS

Control

The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.

Supplemental guidance

cf PS-3: PERSONNEL SCREENING

Objectives

Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:

[1]	security clearances for at least the highest classification level on the system;

[2]	security clearances for all compartments of information on the system;

[3]	formal access approvals for at least the highest classification level on the system; and

[4]	formal access approvals for all compartments of information on the system.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

personnel records

maintenance records

access control records

access credentials

access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with personnel security responsibilities

organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing security clearances for maintenance personnel

MA-5 (3) CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS

Control

The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.

Supplemental guidance

cf PS-3: PERSONNEL SCREENING

Objective

Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

personnel records

maintenance records

access control records

access credentials

access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

MA-5 (4) FOREIGN NATIONALS

Control

The organization ensures that:

(a)

Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and

(b)	Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.

Supplemental guidance

cf PS-3: PERSONNEL SCREENING

Objectives

Determine if the organization ensures that:

(a)

cleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:

[1]	jointly owned and operated by the United States and foreign allied governments; or

[2]	owned and operated solely by foreign allied governments; and

(b)	approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

information system media protection policy

access control policy and procedures

physical and environmental protection policy and procedures

memorandum of agreement

maintenance records

access control records

access credentials

access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities

organizational personnel managing memoranda of agreements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing foreign national maintenance personnel

MA-5 (5) NONSYSTEM-RELATED MAINTENANCE

Control

The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.

Supplemental guidance

Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.

Objective

Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing maintenance personnel

information system media protection policy

access control policy and procedures

physical and environmental protection policy and procedures

maintenance records

access control records

access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with personnel security responsibilities

organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

References: None

MA-6 TIMELY MAINTENANCE

Label: INSERT into ma-6

Parameter: ma-6_prm_1 organization-defined information system components

Label: INSERT into ma-6

Parameter: ma-6_prm_2 organization-defined time period

Control

The organization obtains maintenance support and/or spare parts for ma-6_prm_1 INSERT into ma-6 [NO PARAMETER VALUE GIVEN] within ma-6_prm_2 INSERT into ma-6 [NO PARAMETER VALUE GIVEN] of failure.

Supplemental guidance

Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf CP-2: CONTINGENCY PLAN

cf CP-7: ALTERNATE PROCESSING SITE

cf SA-14: CRITICALITY ANALYSIS

cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Objectives

Determine if the organization:

[1]	defines information system components for which maintenance support and/or spare parts are to be obtained;

[2]	defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;

[3]

[a]	obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or

[b]	obtains spare parts for organization-defined information system components within the organization-defined time period of failure.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance

service provider contracts

service-level agreements

inventory and availability of spare parts

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with acquisition responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for ensuring timely maintenance

Control enhancements

MA-6 (1) PREVENTIVE MAINTENANCE

Label: INSERT into ma-6..1.

Parameter: ma-6_prm_3 organization-defined information system components

Label: INSERT into ma-6..1.

Parameter: ma-6_prm_4 organization-defined time intervals

Control

The organization performs preventive maintenance on ma-6_prm_3 INSERT into ma-6..1. [NO PARAMETER VALUE GIVEN] at ma-6_prm_4 INSERT into ma-6..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.

Objectives

Determine if the organization:

[1]	defines information system components on which preventive maintenance is to be performed;

[2]	defines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and

[3]	performs preventive maintenance on organization-defined information system components at organization-defined time intervals.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance

service provider contracts

service-level agreements

security plan

maintenance records

list of system components requiring preventive maintenance

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for preventive maintenance

automated mechanisms supporting and/or implementing preventive maintenance

MA-6 (2) PREDICTIVE MAINTENANCE

Label: INSERT into ma-6..2.

Parameter: ma-6_prm_5 organization-defined information system components

Label: INSERT into ma-6..2.

Parameter: ma-6_prm_6 organization-defined time intervals

Control

The organization performs predictive maintenance on ma-6_prm_5 INSERT into ma-6..2. [NO PARAMETER VALUE GIVEN] at ma-6_prm_6 INSERT into ma-6..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.

Objectives

Determine if the organization:

[1]	defines information system components on which predictive maintenance is to be performed;

[2]	defines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and

[3]	performs predictive maintenance on organization-defined information system components at organization-defined time intervals.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance

service provider contracts

service-level agreements

security plan

maintenance records

list of system components requiring predictive maintenance

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for predictive maintenance

automated mechanisms supporting and/or implementing predictive maintenance

MA-6 (3) AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE

Control

The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

Supplemental guidance

A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.

Objective

Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

Assessment: EXAMINE

Information system maintenance policy

procedures addressing information system maintenance

service provider contracts

service-level agreements

security plan

maintenance records

list of system components requiring predictive maintenance

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system maintenance responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system

operations of the computer maintenance management system

References: None

MEDIA PROTECTION

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Label: INSERT into mp-1_smt_a (MP-1a.)

Parameter: mp-1_prm_1 organization-defined personnel or roles

Label: INSERT into mp-1_smt_b.1 (MP-1b.1.)

Parameter: mp-1_prm_2 organization-defined frequency

Label: INSERT into mp-1_smt_b.2 (MP-1b.2.)

Parameter: mp-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to mp-1_prm_1 INSERT into mp-1_smt_a (MP-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and

Reviews and updates the current:

1.	Media protection policy mp-1_prm_2 INSERT into mp-1_smt_b.1 (MP-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Media protection procedures mp-1_prm_3 INSERT into mp-1_smt_b.2 (MP-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a media protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the media protection policy is to be disseminated;

[3]	disseminates the media protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current media protection policy;

[2]	reviews and updates the current media protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current media protection procedures; and

[2]	reviews and updates the current media protection procedures with the organization-defined frequency.

Assessment: EXAMINE

Media protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with media protection responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

MP-2 MEDIA ACCESS

Label: INSERT into mp-2

Parameter: mp-2_prm_1 organization-defined types of digital and/or non-digital media

Label: INSERT into mp-2

Parameter: mp-2_prm_2 organization-defined personnel or roles

Control

The organization restricts access to mp-2_prm_1 INSERT into mp-2 [NO PARAMETER VALUE GIVEN] to mp-2_prm_2 INSERT into mp-2 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf AC-3: ACCESS ENFORCEMENT

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf MP-4: MEDIA STORAGE

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PL-2: SYSTEM SECURITY PLAN

Objectives

Determine if the organization:

[1]	defines types of digital and/or non-digital media requiring restricted access;

[2]	defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and

[3]	restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media access restrictions

access control policy and procedures

physical and environmental protection policy and procedures

media storage facilities

access control records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for restricting information media

automated mechanisms supporting and/or implementing media access restrictions

Control enhancements

MP-2 (1) AUTOMATED RESTRICTED ACCESS

cf MP-4 (2): AUTOMATED RESTRICTED ACCESS

Control

Withdrawn: Incorporated into MP-4 (2).

MP-2 (2) CRYPTOGRAPHIC PROTECTION

cf SC-28 (1): CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-28 (1).

References

cf FIPS Publication 199

cf NIST Special Publication 800-111

MP-3 MEDIA MARKING

Label: INSERT into mp-3_smt_b (MP-3b.)

Parameter: mp-3_prm_1 organization-defined types of information system media

Label: INSERT into mp-3_smt_b (MP-3b.)

Parameter: mp-3_prm_2 organization-defined controlled areas

Control

The organization:

a.	Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and

b.	Exempts mp-3_prm_1 INSERT into mp-3_smt_b (MP-3b.) [NO PARAMETER VALUE GIVEN] from marking as long as the media remain within mp-3_prm_2 INSERT into mp-3_smt_b (MP-3b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

cf AC-16: SECURITY ATTRIBUTES

cf PL-2: SYSTEM SECURITY PLAN

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

(a)

marks information system media indicating the:

[1]	distribution limitations of the information;

[2]	handling caveats of the information;

[3]	applicable security markings (if any) of the information;

(b)

[1]	defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;

[2]	defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and

[3]	exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media marking

physical and environmental protection policy and procedures

security plan

list of information system media marking security attributes

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and marking responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for marking information media

automated mechanisms supporting and/or implementing media marking

References

cf FIPS Publication 199

MP-4 MEDIA STORAGE

Label: INSERT into mp-4_smt_a (MP-4a.)

Parameter: mp-4_prm_1 organization-defined types of digital and/or non-digital media

Label: INSERT into mp-4_smt_a (MP-4a.)

Parameter: mp-4_prm_2 organization-defined controlled areas

Control

The organization:

a.	Physically controls and securely stores mp-4_prm_1 INSERT into mp-4_smt_a (MP-4a.) [NO PARAMETER VALUE GIVEN] within mp-4_prm_2 INSERT into mp-4_smt_a (MP-4a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

Supplemental guidance

cf CP-6: ALTERNATE STORAGE SITE

cf CP-9: INFORMATION SYSTEM BACKUP

cf MP-2: MEDIA ACCESS

cf MP-7: MEDIA USE

cf PE-3: PHYSICAL ACCESS CONTROL

Objectives

Determine if the organization:

(a)

[1]	defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;

[2]	defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;

[3]	physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;

[4]	securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and

(b)	protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media storage

physical and environmental protection policy and procedures

access control policy and procedures

security plan

information system media

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and storage responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for storing information media

automated mechanisms supporting and/or implementing secure media storage/media protection

Control enhancements

MP-4 (1) CRYPTOGRAPHIC PROTECTION

cf SC-28 (1): CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-28 (1).

MP-4 (2) AUTOMATED RESTRICTED ACCESS

Control

The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.

Supplemental guidance

Automated mechanisms can include, for example, keypads on the external entries to media storage areas.

cf AU-2: AUDIT EVENTS

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-12: AUDIT GENERATION

Objectives

Determine if the organization employs automated mechanisms to:

[1]	restrict access to media storage areas;

[2]	audit access attempts; and

[3]	audit access granted.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media storage

access control policy and procedures

physical and environmental protection policy and procedures

information system design documentation

information system configuration settings and associated documentation

media storage facilities

access control devices

access control records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and storage responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Automated mechanisms restricting access to media storage areas

automated mechanisms auditing access attempts and access granted to media storage areas

References

cf FIPS Publication 199

cf NIST Special Publication 800-56

cf NIST Special Publication 800-57

cf NIST Special Publication 800-111

MP-5 MEDIA TRANSPORT

Label: INSERT into mp-5_smt_a (MP-5a.)

Parameter: mp-5_prm_1 organization-defined types of information system media

Label: INSERT into mp-5_smt_a (MP-5a.)

Parameter: mp-5_prm_2 organization-defined security safeguards

Control

The organization:

a.	Protects and controls mp-5_prm_1 INSERT into mp-5_smt_a (MP-5a.) [NO PARAMETER VALUE GIVEN] during transport outside of controlled areas using mp-5_prm_2 INSERT into mp-5_smt_a (MP-5a.) [NO PARAMETER VALUE GIVEN] ;

b.	Maintains accountability for information system media during transport outside of controlled areas;

c.	Documents activities associated with the transport of information system media; and

d.	Restricts the activities associated with the transport of information system media to authorized personnel.

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf CP-9: INFORMATION SYSTEM BACKUP

cf MP-3: MEDIA MARKING

cf MP-4: MEDIA STORAGE

cf RA-3: RISK ASSESSMENT

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-28: PROTECTION OF INFORMATION AT REST

Objectives

Determine if the organization:

(a)

[1]	defines types of information system media to be protected and controlled during transport outside of controlled areas;

[2]	defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;

[3]	protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;

(b)	maintains accountability for information system media during transport outside of controlled areas;

(c)	documents activities associated with the transport of information system media; and

(d)	restricts the activities associated with transport of information system media to authorized personnel.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media storage

physical and environmental protection policy and procedures

access control policy and procedures

security plan

information system media

designated controlled areas

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media protection and storage responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for storing information media

automated mechanisms supporting and/or implementing media storage/media protection

Control enhancements

MP-5 (1) PROTECTION OUTSIDE OF CONTROLLED AREAS

cf MP-5: MEDIA TRANSPORT

Control

Withdrawn: Incorporated into MP-5.

MP-5 (2) DOCUMENTATION OF ACTIVITIES

cf MP-5: MEDIA TRANSPORT

Control

Withdrawn: Incorporated into MP-5.

MP-5 (3) CUSTODIANS

Control

The organization employs an identified custodian during transport of information system media outside of controlled areas.

Supplemental guidance

Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.

Objective

Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media transport

physical and environmental protection policy and procedures

information system media transport records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media transport responsibilities

organizational personnel with information security responsibilities

MP-5 (4) CRYPTOGRAPHIC PROTECTION

Control

The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.

Supplemental guidance

This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).

cf MP-2: MEDIA ACCESS

Objective

Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media transport

information system design documentation

information system configuration settings and associated documentation

information system media transport records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media transport responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas

References

cf FIPS Publication 199

cf NIST Special Publication 800-60

MP-6 MEDIA SANITIZATION

Label: INSERT into mp-6_smt_a (MP-6a.)

Parameter: mp-6_prm_1 organization-defined information system media

Label: INSERT into mp-6_smt_a (MP-6a.)

Parameter: mp-6_prm_2 organization-defined sanitization techniques and procedures

Control

The organization:

Sanitizes mp-6_prm_1 INSERT into mp-6_smt_a (MP-6a.) [NO PARAMETER VALUE GIVEN] prior to disposal, release out of organizational control, or release for reuse using mp-6_prm_2 INSERT into mp-6_smt_a (MP-6a.) [NO PARAMETER VALUE GIVEN] in accordance with applicable federal and organizational standards and policies; and

b.	Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.

Supplemental guidance

This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.

cf MA-2: CONTROLLED MAINTENANCE

cf MA-4: NONLOCAL MAINTENANCE

cf RA-3: RISK ASSESSMENT

cf SC-4: INFORMATION IN SHARED RESOURCES

Objectives

Determine if the organization:

(a)

[1]

defines information system media to be sanitized prior to:

[a]

disposal;

[b]	release out of organizational control; or

[c]	release for reuse;

[2]

defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:

[a]

disposal;

[b]	release out of organizational control; or

[c]	release for reuse;

[3]	sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and

(b)	employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

applicable federal standards and policies addressing media sanitization

media sanitization records

audit records

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with media sanitization responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media sanitization

automated mechanisms supporting and/or implementing media sanitization

Control enhancements

MP-6 (1) REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY

Control

The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.

Supplemental guidance

Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.

cf SI-12: INFORMATION HANDLING AND RETENTION

Objectives

Determine if the organization:

[1]	reviews media sanitization and disposal actions;

[2]	approves media sanitization and disposal actions;

[3]	tracks media sanitization and disposal actions;

[4]	documents media sanitization and disposal actions; and

[5]	verifies media sanitization and disposal actions.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

media sanitization and disposal records

review records for media sanitization and disposal actions

approvals for media sanitization and disposal actions

tracking records

verification records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media sanitization and disposal responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media sanitization

automated mechanisms supporting and/or implementing media sanitization

MP-6 (2) EQUIPMENT TESTING

Label: INSERT into mp-6..2.

Parameter: mp-6_prm_3 organization-defined frequency

Control

The organization tests sanitization equipment and procedures mp-6_prm_3 INSERT into mp-6..2. [NO PARAMETER VALUE GIVEN] to verify that the intended sanitization is being achieved.

Supplemental guidance

Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).

Objectives

Determine if the organization:

[1]	defines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and

[2]	tests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

procedures addressing testing of media sanitization equipment

results of media sanitization equipment and procedures testing

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media sanitization responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media sanitization

automated mechanisms supporting and/or implementing media sanitization

MP-6 (3) NONDESTRUCTIVE TECHNIQUES

Label: INSERT into mp-6..3.

Parameter: mp-6_prm_4 organization-defined circumstances requiring sanitization of portable storage devices

Control

The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: mp-6_prm_4 INSERT into mp-6..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if the organization:

[1]	defines circumstances requiring sanitization of portable storage devices; and

[2]	applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

list of circumstances requiring sanitization of portable storage devices

media sanitization records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media sanitization responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media sanitization of portable storage devices

automated mechanisms supporting and/or implementing media sanitization

MP-6 (4) CONTROLLED UNCLASSIFIED INFORMATION

cf MP-6: MEDIA SANITIZATION

Control

Withdrawn: Incorporated into MP-6.

MP-6 (5) CLASSIFIED INFORMATION

cf MP-6: MEDIA SANITIZATION

Control

Withdrawn: Incorporated into MP-6.

MP-6 (6) MEDIA DESTRUCTION

cf MP-6: MEDIA SANITIZATION

Control

Withdrawn: Incorporated into MP-6.

MP-6 (7) DUAL AUTHORIZATION

Label: INSERT into mp-6..7.

Parameter: mp-6_prm_5 organization-defined information system media

Control

The organization enforces dual authorization for the sanitization of mp-6_prm_5 INSERT into mp-6..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.

cf AC-3: ACCESS ENFORCEMENT

cf MP-2: MEDIA ACCESS

Objectives

Determine if the organization:

[1]	defines information system media requiring dual authorization to be enforced for sanitization of such media; and

[2]	enforces dual authorization for the sanitization of organization-defined information system media.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

list of information system media requiring dual authorization for sanitization

authorization records

media sanitization records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media sanitization responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes requiring dual authorization for media sanitization

automated mechanisms supporting and/or implementing media sanitization

automated mechanisms supporting and/or implementing dual authorization

MP-6 (8) REMOTE PURGING / WIPING OF INFORMATION

Label: INSERT into mp-6..8.

Parameter: mp-6_prm_6 organization-defined information systems, system components, or devices

Label: INSERT into mp-6..8.

Parameter: mp-6_prm_7 organization-defined conditions

Control

The organization provides the capability to purge/wipe information from mp-6_prm_6 INSERT into mp-6..8. [NO PARAMETER VALUE GIVEN] either remotely or under the following conditions: mp-6_prm_7 INSERT into mp-6..8. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.

Objectives

Determine if the organization:

[1]	defines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;

[2]	defines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and

[3]

provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:

[a]	remotely; or

[b]	under organization-defined conditions.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media sanitization and disposal

information system design documentation

information system configuration settings and associated documentation

media sanitization records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media sanitization responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for purging/wiping media

automated mechanisms supporting and/or implementing purge/wipe capabilities

References

cf FIPS Publication 199

cf NIST Special Publication 800-60

cf NIST Special Publication 800-88

cf http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml

MP-7 MEDIA USE

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

restricts

prohibits

Label: INSERT into mp-7

Parameter: mp-7_prm_2 organization-defined types of information system media

Label: INSERT into mp-7

Parameter: mp-7_prm_3 organization-defined information systems or system components

Label: INSERT into mp-7

Parameter: mp-7_prm_4 organization-defined security safeguards

Control

The organization mp-7_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } restricts prohibits [NO PARAMETER VALUE GIVEN] the use of mp-7_prm_2 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] on mp-7_prm_3 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] using mp-7_prm_4 INSERT into mp-7 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf PL-4: RULES OF BEHAVIOR

Objectives

Determine if the organization:

[1]

defines types of information system media to be:

[a]	restricted on information systems or system components; or

[b]	prohibited from use on information systems or system components;

[2]

defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:

[a]	restricted; or

[b]	prohibited;

[3]	defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and

[4]	restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.

Assessment: EXAMINE

Information system media protection policy

system use policy

procedures addressing media usage restrictions

security plan

rules of behavior

information system design documentation

information system configuration settings and associated documentation

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media use responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media use

automated mechanisms restricting or prohibiting use of information system media on information systems or system components

Control enhancements

MP-7 (1) PROHIBIT USE WITHOUT OWNER

Control

The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.

Supplemental guidance

Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).

cf PL-4: RULES OF BEHAVIOR

Objective

Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.

Assessment: EXAMINE

Information system media protection policy

system use policy

procedures addressing media usage restrictions

security plan

rules of behavior

information system design documentation

information system configuration settings and associated documentation

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media use responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media use

automated mechanisms prohibiting use of media on information systems or system components

MP-7 (2) PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA

Control

The organization prohibits the use of sanitization-resistant media in organizational information systems.

Supplemental guidance

Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.

cf MP-6: MEDIA SANITIZATION

Objective

Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems.

Assessment: EXAMINE

Information system media protection policy, system use policy

procedures addressing media usage restrictions

rules of behavior

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media use responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media use

automated mechanisms prohibiting use of media on information systems or system components

References

cf FIPS Publication 199

cf NIST Special Publication 800-111

MP-8 MEDIA DOWNGRADING

Label: INSERT into mp-8_smt_a (MP-8a.)

Parameter: mp-8_prm_1 organization-defined information system media downgrading process

Label: INSERT into mp-8_smt_a (MP-8a.)

Parameter: mp-8_prm_2 organization-defined strength and integrity

Label: INSERT into mp-8_smt_c (MP-8c.)

Parameter: mp-8_prm_3 organization-defined information system media requiring downgrading

Control

The organization:

a.	Establishes mp-8_prm_1 INSERT into mp-8_smt_a (MP-8a.) [NO PARAMETER VALUE GIVEN] that includes employing downgrading mechanisms with mp-8_prm_2 INSERT into mp-8_smt_a (MP-8a.) [NO PARAMETER VALUE GIVEN] ;

b.	Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;

c.	Identifies mp-8_prm_3 INSERT into mp-8_smt_c (MP-8c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Downgrades the identified information system media using the established process.

Supplemental guidance

This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.

Objectives

Determine if the organization:

(a)

[1]	defines the information system media downgrading process;

[2]	defines the strength and integrity with which media downgrading mechanisms are to be employed;

[3]	establishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;

(b)

ensures that the information system media downgrading process is commensurate with the:

[1]	security category and/or classification level of the information to be removed;

[2]	access authorizations of the potential recipients of the downgraded information;

(c)	identifies/defines information system media requiring downgrading; and

(d)	downgrades the identified information system media using the established process.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media downgrading

system categorization documentation

list of media requiring downgrading

records of media downgrading

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media downgrading responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for media downgrading

automated mechanisms supporting and/or implementing media downgrading

Control enhancements

MP-8 (1) DOCUMENTATION OF PROCESS

Control

The organization documents information system media downgrading actions.

Supplemental guidance

Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.

Objective

Determine if the organization documents information system media downgrading actions.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media downgrading

list of media requiring downgrading

records of media downgrading

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media downgrading responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media downgrading

automated mechanisms supporting and/or implementing media downgrading

MP-8 (2) EQUIPMENT TESTING

Label: INSERT into mp-8..2.

Parameter: mp-8_prm_4 organization-defined tests

Label: INSERT into mp-8..2.

Parameter: mp-8_prm_5 organization-defined frequency

Control

The organization employs mp-8_prm_4 INSERT into mp-8..2. [NO PARAMETER VALUE GIVEN] of downgrading equipment and procedures to verify correct performance mp-8_prm_5 INSERT into mp-8..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]

[a]	defines tests to be employed for downgrading equipment;

[b]	defines procedures to verify correct performance;

[2]	defines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and

[3]	employs organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.

Assessment: EXAMINE

Information system media protection policy

procedures addressing media downgrading

procedures addressing testing of media downgrading equipment

results of downgrading equipment and procedures testing

audit records: other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media downgrading responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media downgrading

automated mechanisms supporting and/or implementing media downgrading

automated mechanisms supporting and/or implementing tests for downgrading equipment

MP-8 (3) CONTROLLED UNCLASSIFIED INFORMATION

Label: INSERT into mp-8..3.

Parameter: mp-8_prm_6 organization-defined Controlled Unclassified Information (CUI)

Control

The organization downgrades information system media containing mp-8_prm_6 INSERT into mp-8..3. [NO PARAMETER VALUE GIVEN] prior to public release in accordance with applicable federal and organizational standards and policies.

Objectives

Determine if the organization:

[1]	defines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and

[2]	downgrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.

Assessment: EXAMINE

Information system media protection policy

access authorization policy

procedures addressing downgrading of media containing CUI

applicable federal and organizational standards and policies regarding protection of CUI

media downgrading records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media downgrading responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media downgrading

automated mechanisms supporting and/or implementing media downgrading

MP-8 (4) CLASSIFIED INFORMATION

Control

The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.

Supplemental guidance

Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.

Objective

Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.

Assessment: EXAMINE

Information system media protection policy

access authorization policy

procedures addressing downgrading of media containing classified information

procedures addressing handling of classified information

NSA standards and policies regarding protection of classified information

media downgrading records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information system media downgrading responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for media downgrading

automated mechanisms supporting and/or implementing media downgrading

References: None

PHYSICAL AND ENVIRONMENTAL PROTECTION

PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Label: INSERT into pe-1_smt_a (PE-1a.)

Parameter: pe-1_prm_1 organization-defined personnel or roles

Label: INSERT into pe-1_smt_b.1 (PE-1b.1.)

Parameter: pe-1_prm_2 organization-defined frequency

Label: INSERT into pe-1_smt_b.2 (PE-1b.2.)

Parameter: pe-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to pe-1_prm_1 INSERT into pe-1_smt_a (PE-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and

Reviews and updates the current:

1.	Physical and environmental protection policy pe-1_prm_2 INSERT into pe-1_smt_b.1 (PE-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Physical and environmental protection procedures pe-1_prm_3 INSERT into pe-1_smt_b.2 (PE-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a physical and environmental protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;

[3]	disseminates the physical and environmental protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current physical and environmental protection policy;

[2]	reviews and updates the current physical and environmental protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current physical and environmental protection procedures; and

[2]	reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical and environmental protection responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

PE-2 PHYSICAL ACCESS AUTHORIZATIONS

Label: INSERT into pe-2_smt_c (PE-2c.)

Parameter: pe-2_prm_1 organization-defined frequency

Control

The organization:

a.	Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;

b.	Issues authorization credentials for facility access;

c.	Reviews the access list detailing authorized facility access by individuals pe-2_prm_1 INSERT into pe-2_smt_c (PE-2c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Removes individuals from the facility access list when access is no longer required.

Supplemental guidance

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PS-3: PERSONNEL SCREENING

Objectives

Determine if the organization:

(a)

[1]	develops a list of individuals with authorized access to the facility where the information system resides;

[2]	approves a list of individuals with authorized access to the facility where the information system resides;

[3]	maintains a list of individuals with authorized access to the facility where the information system resides;

(b)	issues authorization credentials for facility access;

(c)

[1]	defines the frequency to review the access list detailing authorized facility access by individuals;

[2]	reviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and

(d)	removes individuals from the facility access list when access is no longer required.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access authorizations

security plan

authorized personnel access list

authorization credentials

physical access list reviews

physical access termination records and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with physical access to information system facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access authorizations

automated mechanisms supporting and/or implementing physical access authorizations

Control enhancements

PE-2 (1) ACCESS BY POSITION / ROLE

Control

The organization authorizes physical access to the facility where the information system resides based on position or role.

Supplemental guidance

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

Objective

Determine if the organization authorizes physical access to the facility where the information system resides based on position or role.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access authorizations

physical access control logs or records

list of positions/roles and corresponding physical access authorizations

information system entry and exit points

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with physical access to information system facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access authorizations

automated mechanisms supporting and/or implementing physical access authorizations

PE-2 (2) TWO FORMS OF IDENTIFICATION

Label: INSERT into pe-2..2.

Parameter: pe-2_prm_2 organization-defined list of acceptable forms of identification

Control

The organization requires two forms of identification from pe-2_prm_2 INSERT into pe-2..2. [NO PARAMETER VALUE GIVEN] for visitor access to the facility where the information system resides.

Supplemental guidance

Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

Objectives

Determine if the organization:

[1]	defines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and

[2]	requires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access authorizations

list of acceptable forms of identification for visitor access to the facility where information system resides

access authorization forms

access credentials

physical access control logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with physical access to information system facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access authorizations

automated mechanisms supporting and/or implementing physical access authorizations

PE-2 (3) RESTRICT UNESCORTED ACCESS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

security clearances for all information contained within the system

formal access authorizations for all information contained within the system

need for access to all information contained within the system

pe-2_prm_4 INSERT into pe-2..3. [NO PARAMETER VALUE GIVEN]

Label: INSERT into pe-2..3.

Parameter: pe-2_prm_4 organization-defined credentials

Control

The organization restricts unescorted access to the facility where the information system resides to personnel with pe-2_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } security clearances for all information contained within the system formal access authorizations for all information contained within the system need for access to all information contained within the system [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.

cf PS-2: POSITION RISK DESIGNATION

cf PS-6: ACCESS AGREEMENTS

Objectives

Determine if the organization:

[1]	defines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;

[2]

restricts unescorted access to the facility where the information system resides to personnel with one or more of the following:

[a]	security clearances for all information contained within the system;

[b]	formal access authorizations for all information contained within the system;

[c]	need for access to all information contained within the system; and/or

[d]	organization-defined credentials.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access authorizations

authorized personnel access list

security clearances

access authorizations

access credentials

physical access control logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with physical access to information system facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access authorizations

automated mechanisms supporting and/or implementing physical access authorizations

References: None

PE-3 PHYSICAL ACCESS CONTROL

Label: INSERT into pe-3_smt_a (PE-3a.)

Parameter: pe-3_prm_1 organization-defined entry/exit points to the facility where the information system resides

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: pe-3_prm_2 Insertion into PE-3a.2.

pe-3_prm_3 INSERT into pe-3_smt_a.2 (PE-3a.2.) [NO PARAMETER VALUE GIVEN]

guards

Label: INSERT into pe-3_smt_a.2 (PE-3a.2.)

Parameter: pe-3_prm_3 organization-defined physical access control systems/devices

Label: INSERT into pe-3_smt_b (PE-3b.)

Parameter: pe-3_prm_4 organization-defined entry/exit points

Label: INSERT into pe-3_smt_c (PE-3c.)

Parameter: pe-3_prm_5 organization-defined security safeguards

Label: INSERT into pe-3_smt_d (PE-3d.)

Parameter: pe-3_prm_6 organization-defined circumstances requiring visitor escorts and monitoring

Label: INSERT into pe-3_smt_f (PE-3f.)

Parameter: pe-3_prm_7 organization-defined physical access devices

Label: INSERT into pe-3_smt_f (PE-3f.)

Parameter: pe-3_prm_8 organization-defined frequency

Label: INSERT into pe-3_smt_g (PE-3g.)

Parameter: pe-3_prm_9 organization-defined frequency

Control

The organization:

Enforces physical access authorizations at pe-3_prm_1 INSERT into pe-3_smt_a (PE-3a.) [NO PARAMETER VALUE GIVEN] by;

1.	Verifying individual access authorizations before granting access to the facility; and

2.	Controlling ingress/egress to the facility using pe-3_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } guards [NO PARAMETER VALUE GIVEN] ;

b.	Maintains physical access audit logs for pe-3_prm_4 INSERT into pe-3_smt_b (PE-3b.) [NO PARAMETER VALUE GIVEN] ;

c.	Provides pe-3_prm_5 INSERT into pe-3_smt_c (PE-3c.) [NO PARAMETER VALUE GIVEN] to control access to areas within the facility officially designated as publicly accessible;

d.	Escorts visitors and monitors visitor activity pe-3_prm_6 INSERT into pe-3_smt_d (PE-3d.) [NO PARAMETER VALUE GIVEN] ;

e.	Secures keys, combinations, and other physical access devices;

f.	Inventories pe-3_prm_7 INSERT into pe-3_smt_f (PE-3f.) [NO PARAMETER VALUE GIVEN] every pe-3_prm_8 INSERT into pe-3_smt_f (PE-3f.) [NO PARAMETER VALUE GIVEN] ; and

g.	Changes combinations and keys pe-3_prm_9 INSERT into pe-3_smt_g (PE-3g.) [NO PARAMETER VALUE GIVEN] and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.

Supplemental guidance

This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PE-5: ACCESS CONTROL FOR OUTPUT DEVICES

cf PS-3: PERSONNEL SCREENING

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

(a)

[1]	defines entry/exit points to the facility where the information system resides;

[2]

enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:

(1)	verifying individual access authorizations before granting access to the facility;

(2)

[a]	defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;

[b]

using one or more of the following ways to control ingress/egress to the facility:

[1]	organization-defined physical access control systems/devices; and/or

[2]

guards;

(b)

[1]	defines entry/exit points for which physical access audit logs are to be maintained;

[2]	maintains physical access audit logs for organization-defined entry/exit points;

(c)

[1]	defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;

[2]	provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;

(d)

[1]

defines circumstances requiring visitor:

[a]

escorts;

[b]	monitoring;

[2]

in accordance with organization-defined circumstances requiring visitor escorts and monitoring:

[a]	escorts visitors;

[b]	monitors visitor activities;

(e)

[1]	secures keys;

[2]	secures combinations;

[3]	secures other physical access devices;

(f)

[1]	defines physical access devices to be inventoried;

[2]	defines the frequency to inventory organization-defined physical access devices;

[3]	inventories the organization-defined physical access devices with the organization-defined frequency;

(g)

[1]	defines the frequency to change combinations and keys; and

[2]

changes combinations and keys with the organization-defined frequency and/or when:

[a]	keys are lost;

[b]	combinations are compromised;

[c]	individuals are transferred or terminated.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

security plan

physical access control logs or records

inventory records of physical access control devices

information system entry and exit points

records of key and lock combination changes

storage locations for physical access control devices

physical access control devices

list of security safeguards controlling access to designated publicly accessible areas within facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access control

automated mechanisms supporting and/or implementing physical access control

physical access control devices

Control enhancements

PE-3 (1) INFORMATION SYSTEM ACCESS

Label: INSERT into pe-3..1.

Parameter: pe-3_prm_10 organization-defined physical spaces containing one or more components of the information system

Control

The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at pe-3_prm_10 INSERT into pe-3..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).

cf PS-2: POSITION RISK DESIGNATION

Objectives

Determine if the organization:

[1]	defines physical spaces containing one or more components of the information system; and

[2]	enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

physical access control logs or records

physical access control devices

access authorizations

access credentials

information system entry and exit points

list of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access authorization responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access control to the information system/components

automated mechanisms supporting and/or implementing physical access control for facility areas containing information system components

PE-3 (2) FACILITY / INFORMATION SYSTEM BOUNDARIES

Label: INSERT into pe-3..2.

Parameter: pe-3_prm_11 organization-defined frequency

Control

The organization performs security checks pe-3_prm_11 INSERT into pe-3..2. [NO PARAMETER VALUE GIVEN] at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.

Supplemental guidance

Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

[1]

defines the frequency to perform security checks at the physical boundary of the facility or information system for:

[a]	unauthorized exfiltration of information; or

[b]	removal of information system components; and

[2]

performs security checks with the organization-defined frequency at the physical boundary of the facility or information system for:

[a]	unauthorized exfiltration of information; or

[b]	removal of information system components.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

physical access control logs or records

records of security checks

security audit reports

security inspection reports

facility layout documentation

information system entry and exit points

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access control to the facility and/or information system

automated mechanisms supporting and/or implementing physical access control for the facility or information system

automated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information

PE-3 (3) CONTINUOUS GUARDS / ALARMS / MONITORING

Control

The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.

Supplemental guidance

cf CP-6: ALTERNATE STORAGE SITE

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:

[1]	guards; and/or

[2]

alarms.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

physical access control logs or records

physical access control devices

facility surveillance records

facility layout documentation

information system entry and exit points

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for physical access control to the facility where the information system resides

automated mechanisms supporting and/or implementing physical access control for the facility where the information system resides

PE-3 (4) LOCKABLE CASINGS

Label: INSERT into pe-3..4.

Parameter: pe-3_prm_12 organization-defined information system components

Control

The organization uses lockable physical casings to protect pe-3_prm_12 INSERT into pe-3..4. [NO PARAMETER VALUE GIVEN] from unauthorized physical access.

Objectives

Determine if the organization:

[1]	defines information system components to be protected from unauthorized physical access using lockable physical casings; and

[2]	uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

security plan

list of information system components requiring protection through lockable physical casings

lockable physical casings

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Lockable physical casings

PE-3 (5) TAMPER PROTECTION

Label: INSERT into pe-3..5.

Parameter: pe-3_prm_13 organization-defined security safeguards

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

detect

prevent

Label: INSERT into pe-3..5.

Parameter: pe-3_prm_15 organization-defined hardware components

Control

The organization employs pe-3_prm_13 INSERT into pe-3..5. [NO PARAMETER VALUE GIVEN] to pe-3_prm_14 SELECT for { ancestor-or-self::*[@id][1]/@id } detect prevent [NO PARAMETER VALUE GIVEN] physical tampering or alteration of pe-3_prm_15 INSERT into pe-3..5. [NO PARAMETER VALUE GIVEN] within the information system.

Supplemental guidance

Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;

[2]	defines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;

[3]

employs organization-defined security safeguards to do one or more of the following:

[a]	detect physical tampering or alteration of organization-defined hardware components within the information system; and/or

[b]	prevent physical tampering or alteration of organization-defined hardware components within the information system.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

list of security safeguards to detect/prevent physical tampering or alteration of information system hardware components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes to detect/prevent physical tampering or alteration of information system hardware components

automated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components

PE-3 (6) FACILITY PENETRATION TESTING

Label: INSERT into pe-3..6.

Parameter: pe-3_prm_16 organization-defined frequency

Control

The organization employs a penetration testing process that includes pe-3_prm_16 INSERT into pe-3..6. [NO PARAMETER VALUE GIVEN] , unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.

Supplemental guidance

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

Objectives

Determine if the organization:

[1]	defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and

[2]	employs a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

procedures addressing penetration testing

rules of engagement and associated documentation

penetration test results

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for facility penetration testing

automated mechanisms supporting and/or implementing facility penetration testing

References

cf FIPS Publication 201

cf NIST Special Publication 800-73

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

cf NIST Special Publication 800-116

cf ICD 704

cf ICD 705

cf DoD Instruction 5200.39

cf Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)

cf http://idmanagement.gov

cf http://fips201ep.cio.gov

PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM

Label: INSERT into pe-4

Parameter: pe-4_prm_1 organization-defined information system distribution and transmission lines

Label: INSERT into pe-4

Parameter: pe-4_prm_2 organization-defined security safeguards

Control

The organization controls physical access to pe-4_prm_1 INSERT into pe-4 [NO PARAMETER VALUE GIVEN] within organizational facilities using pe-4_prm_2 INSERT into pe-4 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-5: ACCESS CONTROL FOR OUTPUT DEVICES

cf SC-7: BOUNDARY PROTECTION

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Objectives

Determine if the organization:

[1]	defines information system distribution and transmission lines requiring physical access controls;

[2]	defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and

[3]	controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing access control for transmission medium

information system design documentation

facility communications and wiring diagrams

list of physical security safeguards applied to information system distribution and transmission lines

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access control to distribution and transmission lines

automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines

References

cf NSTISSI No. 7003

PE-5 ACCESS CONTROL FOR OUTPUT DEVICES

Control

The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

Supplemental guidance

Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PE-18: LOCATION OF INFORMATION SYSTEM COMPONENTS

Objective

Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing access control for display medium

facility layout of information system components

actual displays from information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access control to output devices

automated mechanisms supporting and/or implementing access control to output devices

Control enhancements

PE-5 (1) ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS

Label: INSERT into pe-5..1._smt_a (PE-5 (1)(a))

Parameter: pe-5_prm_1 organization-defined output devices

Control

The organization:

(a)	Controls physical access to output from pe-5_prm_1 INSERT into pe-5..1._smt_a (PE-5 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Ensures that only authorized individuals receive output from the device.

Supplemental guidance

Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.

Objectives

Determine if the organization:

(a)

[1]	defines output devices whose output requires physical access controls;

[2]	controls physical access to output from organization-defined output devices; and

(b)	ensures that only authorized individuals receive output from the device.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

list of output devices and associated outputs requiring physical access controls

physical access control logs or records for areas containing output devices and related outputs

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access control to output devices

automated mechanisms supporting and/or implementing access control to output devices

PE-5 (2) ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY

Label: INSERT into pe-5..2._smt_a (PE-5 (2)(a))

Parameter: pe-5_prm_2 organization-defined output devices

Control

The information system:

(a)	Controls physical access to output from pe-5_prm_2 INSERT into pe-5..2._smt_a (PE-5 (2)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Links individual identity to receipt of the output from the device.

Supplemental guidance

Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.

Objectives

Determine if:

(a)

[1]	the organization defines output devices whose output requires physical access controls;

[2]	the information system controls physical access to output from organization-defined output devices; and

(b)	the information system links individual identity to receipt of the output from the device.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

information system design documentation

information system configuration settings and associated documentation

list of output devices and associated outputs requiring physical access controls

physical access control logs or records for areas containing output devices and related outputs

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

system/network administrators

system developers

Assessment: TEST

Organizational processes for access control to output devices

automated mechanisms supporting and/or implementing access control to output devices

PE-5 (3) MARKING OUTPUT DEVICES

Label: INSERT into pe-5..3.

Parameter: pe-5_prm_3 organization-defined information system output devices

Control

The organization marks pe-5_prm_3 INSERT into pe-5..3. [NO PARAMETER VALUE GIVEN] indicating the appropriate security marking of the information permitted to be output from the device.

Supplemental guidance

Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.

Objectives

Determine if the organization:

[1]	defines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and

[2]	marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access control

security markings for information types permitted as output from information system output devices

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access control responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for marking output devices

References: None

PE-6 MONITORING PHYSICAL ACCESS

Label: INSERT into pe-6_smt_b (PE-6b.)

Parameter: pe-6_prm_1 organization-defined frequency

Label: INSERT into pe-6_smt_b (PE-6b.)

Parameter: pe-6_prm_2 organization-defined events or potential indications of events

Control

The organization:

a.	Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

b.	Reviews physical access logs pe-6_prm_1 INSERT into pe-6_smt_b (PE-6b.) [NO PARAMETER VALUE GIVEN] and upon occurrence of pe-6_prm_2 INSERT into pe-6_smt_b (PE-6b.) [NO PARAMETER VALUE GIVEN] ; and

c.	Coordinates results of reviews and investigations with the organizational incident response capability.

Supplemental guidance

Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.

cf CA-7: CONTINUOUS MONITORING

cf IR-4: INCIDENT HANDLING

cf IR-8: INCIDENT RESPONSE PLAN

Objectives

Determine if the organization:

(a)	monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;

(b)

[1]	defines the frequency to review physical access logs;

[2]	defines events or potential indication of events requiring physical access logs to be reviewed;

[3]	reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and

(c)	coordinates results of reviews and investigations with the organizational incident response capability.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

security plan

physical access logs or records

physical access monitoring records

physical access log reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical access

automated mechanisms supporting and/or implementing physical access monitoring

automated mechanisms supporting and/or implementing reviewing of physical access logs

Control enhancements

PE-6 (1) INTRUSION ALARMS / SURVEILLANCE EQUIPMENT

Control

The organization monitors physical intrusion alarms and surveillance equipment.

Objective

Determine if the organization monitors physical intrusion alarms and surveillance equipment.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

security plan

physical access logs or records

physical access monitoring records

physical access log reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with incident response responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical intrusion alarms and surveillance equipment

automated mechanisms supporting and/or implementing physical access monitoring

automated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment

PE-6 (2) AUTOMATED INTRUSION RECOGNITION / RESPONSES

Label: INSERT into pe-6..2.

Parameter: pe-6_prm_3 organization-defined classes/types of intrusions

Label: INSERT into pe-6..2.

Parameter: pe-6_prm_4 organization-defined response actions

Control

The organization employs automated mechanisms to recognize pe-6_prm_3 INSERT into pe-6..2. [NO PARAMETER VALUE GIVEN] and initiate pe-6_prm_4 INSERT into pe-6..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines classes/types of intrusions to be recognized by automated mechanisms;

[2]	defines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and

[3]	employs automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of response actions to be initiated when specific classes/types of intrusions are recognized

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical access

automated mechanisms supporting and/or implementing physical access monitoring

automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response

PE-6 (3) VIDEO SURVEILLANCE

Label: INSERT into pe-6..3.

Parameter: pe-6_prm_5 organization-defined operational areas

Label: INSERT into pe-6..3.

Parameter: pe-6_prm_6 organization-defined time period

Control

The organization employs video surveillance of pe-6_prm_5 INSERT into pe-6..3. [NO PARAMETER VALUE GIVEN] and retains video recordings for pe-6_prm_6 INSERT into pe-6..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.

Objectives

Determine if the organization:

[1]	defines operational areas where video surveillance is to be employed;

[2]	defines a time period to retain video recordings of organization-defined operational areas;

[3]

[a]	employs video surveillance of organization-defined operational areas; and

[b]	retains video recordings for the organization-defined time period.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

video surveillance equipment used to monitor operational areas

video recordings of operational areas where video surveillance is employed

video surveillance equipment logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical access

automated mechanisms supporting and/or implementing physical access monitoring

automated mechanisms supporting and/or implementing video surveillance

PE-6 (4) MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS

Label: INSERT into pe-6..4.

Parameter: pe-6_prm_7 organization-defined physical spaces containing one or more components of the information system

Control

The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as pe-6_prm_7 INSERT into pe-6..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).

cf PS-2: POSITION RISK DESIGNATION

cf PS-3: PERSONNEL SCREENING

Objectives

Determine if the organization:

[1]	defines physical spaces containing one or more components of the information system; and

[2]	monitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing physical access monitoring

physical access control logs or records

physical access control devices

access authorizations

access credentials

list of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with physical access monitoring responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring physical access to the information system

automated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components

References: None

PE-7 VISITOR CONTROL

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PE-3: PHYSICAL ACCESS CONTROL

Control

Withdrawn: Incorporated into PE-2 and PE-3.

References: None

PE-8 VISITOR ACCESS RECORDS

Label: INSERT into pe-8_smt_a (PE-8a.)

Parameter: pe-8_prm_1 organization-defined time period

Label: INSERT into pe-8_smt_b (PE-8b.)

Parameter: pe-8_prm_2 organization-defined frequency

Control

The organization:

a.	Maintains visitor access records to the facility where the information system resides for pe-8_prm_1 INSERT into pe-8_smt_a (PE-8a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Reviews visitor access records pe-8_prm_2 INSERT into pe-8_smt_b (PE-8b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.

Objectives

Determine if the organization:

(a)

[1]	defines the time period to maintain visitor access records to the facility where the information system resides;

[2]	maintains visitor access records to the facility where the information system resides for the organization-defined time period;

(b)

[1]	defines the frequency to review visitor access records; and

[2]	reviews visitor access records with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing visitor access records

security plan

visitor access control logs or records

visitor access record or log reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with visitor access records responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for maintaining and reviewing visitor access records

automated mechanisms supporting and/or implementing maintenance and review of visitor access records

Control enhancements

PE-8 (1) AUTOMATED RECORDS MAINTENANCE / REVIEW

Control

The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

Objective

Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing visitor access records

automated mechanisms supporting management of visitor access records

visitor access control logs or records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with visitor access records responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for maintaining and reviewing visitor access records

automated mechanisms supporting and/or implementing maintenance and review of visitor access records

PE-8 (2) PHYSICAL ACCESS RECORDS

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

Control

Withdrawn: Incorporated into PE-2.

References: None

PE-9 POWER EQUIPMENT AND CABLING

Control

The organization protects power equipment and power cabling for the information system from damage and destruction.

Supplemental guidance

Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

Objective

Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing power equipment/cabling protection

facilities housing power equipment/cabling

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for protecting power equipment/cabling

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing protection of power equipment/cabling

Control enhancements

PE-9 (1) REDUNDANT CABLING

Label: INSERT into pe-9..1.

Parameter: pe-9_prm_1 organization-defined distance

Control

The organization employs redundant power cabling paths that are physically separated by pe-9_prm_1 INSERT into pe-9..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

Objectives

Determine if the organization:

[1]	defines the distance by which redundant power cabling paths are to be physically separated; and

[2]	employs redundant power cabling paths that are physically separated by organization-defined distance.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing power equipment/cabling protection

facilities housing power equipment/cabling

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for protecting power equipment/cabling

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing protection of power equipment/cabling

PE-9 (2) AUTOMATIC VOLTAGE CONTROLS

Label: INSERT into pe-9..2.

Parameter: pe-9_prm_2 organization-defined critical information system components

Control

The organization employs automatic voltage controls for pe-9_prm_2 INSERT into pe-9..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines critical information system components that require automatic voltage controls; and

[2]	employs automatic voltage controls for organization-defined critical information system components.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing voltage control

security plan

list of critical information system components requiring automatic voltage controls

automatic voltage control mechanisms and associated configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for environmental protection of information system components

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing automatic voltage controls

References: None

PE-10 EMERGENCY SHUTOFF

Label: INSERT into pe-10_smt_b (PE-10b.)

Parameter: pe-10_prm_1 organization-defined location by information system or system component

Control

The organization:

a.	Provides the capability of shutting off power to the information system or individual system components in emergency situations;

b.	Places emergency shutoff switches or devices in pe-10_prm_1 INSERT into pe-10_smt_b (PE-10b.) [NO PARAMETER VALUE GIVEN] to facilitate safe and easy access for personnel; and

c.	Protects emergency power shutoff capability from unauthorized activation.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

cf PE-15: WATER DAMAGE PROTECTION

Objectives

Determine if the organization:

(a)	provides the capability of shutting off power to the information system or individual system components in emergency situations;

(b)

[1]	defines the location of emergency shutoff switches or devices by information system or system component;

[2]	places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and

(c)	protects emergency power shutoff capability from unauthorized activation.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing power source emergency shutoff

security plan

emergency shutoff controls or switches

locations housing emergency shutoff switches and devices

security safeguards protecting emergency power shutoff capability from unauthorized activation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing emergency power shutoff

Control enhancements

PE-10 (1) ACCIDENTAL / UNAUTHORIZED ACTIVATION

cf PE-10: EMERGENCY SHUTOFF

Control

Withdrawn: Incorporated into PE-10.

References: None

PE-11 EMERGENCY POWER

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

an orderly shutdown of the information system

transition of the information system to long-term alternate power

Control

The organization provides a short-term uninterruptible power supply to facilitate pe-11_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } an orderly shutdown of the information system transition of the information system to long-term alternate power [NO PARAMETER VALUE GIVEN] in the event of a primary power source loss.

Supplemental guidance

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CP-2: CONTINGENCY PLAN

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:

[1]	an orderly shutdown of the information system; and/or

[2]	transition of the information system to long-term alternate power.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency power

uninterruptible power supply

uninterruptible power supply documentation

uninterruptible power supply test records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing uninterruptible power supply

the uninterruptable power supply

Control enhancements

PE-11 (1) LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY

Control

The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.

Supplemental guidance

This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.

Objective

Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency power

alternate power supply

alternate power supply documentation

alternate power supply test records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing alternate power supply

the alternate power supply

PE-11 (2) LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: pe-11_prm_2 Insertion into PE-11 (2)(c)

minimally required operational capability

full operational capability

Control

The organization provides a long-term alternate power supply for the information system that is:

(a)	Self-contained;

(b)	Not reliant on external power generation; and

(c)	Capable of maintaining pe-11_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } minimally required operational capability full operational capability [NO PARAMETER VALUE GIVEN] in the event of an extended loss of the primary power source.

Supplemental guidance

This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.

Objectives

Determine if the organization provides a long-term alternate power supply for the information system that is:

(a)	self-contained;

(b)	not reliant on external power generation;

(c)

capable of maintaining one of the following in the event of an extended loss of the primary power source:

[1]	minimally required operational capability; or

[2]	full operational capability.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency power

alternate power supply

alternate power supply documentation

alternate power supply test records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency power and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing alternate power supply

the alternate power supply

References: None

PE-12 EMERGENCY LIGHTING

Control

The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.

cf CP-2: CONTINGENCY PLAN

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization employs and maintains automatic emergency lighting for the information system that:

[1]	activates in the event of a power outage or disruption; and

[2]	covers emergency exits and evacuation routes within the facility.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency lighting

emergency lighting documentation

emergency lighting test records

emergency exits and evacuation routes

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency lighting and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing emergency lighting capability

Control enhancements

PE-12 (1) ESSENTIAL MISSIONS / BUSINESS FUNCTIONS

Control

The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.

Objective

Determine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing emergency lighting

emergency lighting documentation

emergency lighting test records

emergency exits and evacuation routes

areas/locations within facility supporting essential missions and business functions

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for emergency lighting and/or planning

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing emergency lighting capability

References: None

PE-13 FIRE PROTECTION

Control

The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.

Objectives

Determine if the organization:

[1]	employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and

[2]	maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

fire suppression and detection devices/systems

fire suppression and detection devices/systems documentation

test records of fire suppression and detection devices/systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for fire detection and suppression devices/systems

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems

Control enhancements

PE-13 (1) DETECTION DEVICES / SYSTEMS

Label: INSERT into pe-13..1.

Parameter: pe-13_prm_1 organization-defined personnel or roles

Label: INSERT into pe-13..1.

Parameter: pe-13_prm_2 organization-defined emergency responders

Control

The organization employs fire detection devices/systems for the information system that activate automatically and notify pe-13_prm_1 INSERT into pe-13..1. [NO PARAMETER VALUE GIVEN] and pe-13_prm_2 INSERT into pe-13..1. [NO PARAMETER VALUE GIVEN] in the event of a fire.

Supplemental guidance

Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.

Objectives

Determine if the organization:

[1]	defines personnel or roles to be notified in the event of a fire;

[2]	defines emergency responders to be notified in the event of a fire;

[3]

employs fire detection devices/systems for the information system that, in the event of a fire,:

[a]	activate automatically;

[b]	notify organization-defined personnel or roles; and

[c]	notify organization-defined emergency responders.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

facility housing the information system

alarm service-level agreements

test records of fire suppression and detection devices/systems

fire suppression and detection devices/systems documentation

alerts/notifications of fire events

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for fire detection and suppression devices/systems

organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing fire detection devices/systems

activation of fire detection devices/systems (simulated)

automated notifications

PE-13 (2) SUPPRESSION DEVICES / SYSTEMS

Label: INSERT into pe-13..2.

Parameter: pe-13_prm_3 organization-defined emergency responders

Control

The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and pe-13_prm_3 INSERT into pe-13..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Objectives

Determine if the organization:

[1]	defines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;

[2]	defines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;

[3]

employs fire suppression devices/systems for the information system that provide automatic notification of any activation to:

[a]	organization-defined personnel or roles; and

[b]	organization-defined emergency responders.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

fire suppression and detection devices/systems documentation

facility housing the information system

alarm service-level agreements

test records of fire suppression and detection devices/systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for fire detection and suppression devices/systems

organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing fire suppression devices/systems

activation of fire suppression devices/systems (simulated)

automated notifications

PE-13 (3) AUTOMATIC FIRE SUPPRESSION

Control

The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.

Objective

Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

fire suppression and detection devices/systems documentation

facility housing the information system

alarm service-level agreements

test records of fire suppression and detection devices/systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for fire detection and suppression devices/systems

organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing fire suppression devices/systems

activation of fire suppression devices/systems (simulated)

PE-13 (4) INSPECTIONS

Label: INSERT into pe-13..4.

Parameter: pe-13_prm_4 organization-defined frequency

Label: INSERT into pe-13..4.

Parameter: pe-13_prm_5 organization-defined time period

Control

The organization ensures that the facility undergoes pe-13_prm_4 INSERT into pe-13..4. [NO PARAMETER VALUE GIVEN] inspections by authorized and qualified inspectors and resolves identified deficiencies within pe-13_prm_5 INSERT into pe-13..4. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;

[2]	ensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;

[3]	defines a time period to resolve deficiencies identified when the facility undergoes such inspections; and

[4]	resolves identified deficiencies within the organization-defined time period.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing fire protection

security plan

facility housing the information system

inspection plans

inspection results

inspect reports

test records of fire suppression and detection devices/systems

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for planning, approving, and executing fire inspections

organizational personnel with information security responsibilities

References: None

PE-14 TEMPERATURE AND HUMIDITY CONTROLS

Label: INSERT into pe-14_smt_a (PE-14a.)

Parameter: pe-14_prm_1 organization-defined acceptable levels

Label: INSERT into pe-14_smt_b (PE-14b.)

Parameter: pe-14_prm_2 organization-defined frequency

Control

The organization:

a.	Maintains temperature and humidity levels within the facility where the information system resides at pe-14_prm_1 INSERT into pe-14_smt_a (PE-14a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Monitors temperature and humidity levels pe-14_prm_2 INSERT into pe-14_smt_b (PE-14b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.

cf AT-3: ROLE-BASED SECURITY TRAINING

Objectives

Determine if the organization:

(a)

[1]	defines acceptable temperature levels to be maintained within the facility where the information system resides;

[2]	defines acceptable humidity levels to be maintained within the facility where the information system resides;

[3]	maintains temperature levels within the facility where the information system resides at the organization-defined levels;

[4]	maintains humidity levels within the facility where the information system resides at the organization-defined levels;

(b)

[1]	defines the frequency to monitor temperature levels;

[2]	defines the frequency to monitor humidity levels;

[3]	monitors temperature levels with the organization-defined frequency; and

[4]	monitors humidity levels with the organization-defined frequency.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing temperature and humidity control

security plan

temperature and humidity controls

facility housing the information system

temperature and humidity controls documentation

temperature and humidity records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels

Control enhancements

PE-14 (1) AUTOMATIC CONTROLS

Control

The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.

Objectives

Determine if the organization:

[1]	employs automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and

[2]	employs automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing temperature and humidity controls

facility housing the information system

automated mechanisms for temperature and humidity

temperature and humidity controls

temperature and humidity documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing temperature and humidity levels

PE-14 (2) MONITORING WITH ALARMS / NOTIFICATIONS

Control

The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.

Objectives

Determine if the organization:

[1]	employs temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or

[2]	employs temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;

[3]	employs humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or

[4]	employs humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing temperature and humidity monitoring

facility housing the information system

logs or records of temperature and humidity monitoring

records of changes to temperature and humidity levels that generate alarms or notifications

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing temperature and humidity monitoring

References: None

PE-15 WATER DAMAGE PROTECTION

Control

The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

Supplemental guidance

This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.

cf AT-3: ROLE-BASED SECURITY TRAINING

Objectives

Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:

[1]	accessible;

[2]	working properly; and

[3]	known to key personnel.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing water damage protection

facility housing the information system

master shutoff valves

list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system

master shutoff valve documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Master water-shutoff valves

organizational process for activating master water-shutoff

Control enhancements

PE-15 (1) AUTOMATION SUPPORT

Label: INSERT into pe-15..1.

Parameter: pe-15_prm_1 organization-defined personnel or roles

Control

The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts pe-15_prm_1 INSERT into pe-15..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.

Objectives

Determine if the organization:

[1]	defines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;

[2]	employs automated mechanisms to detect the presence of water in the vicinity of the information system; and

[3]	alerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing water damage protection

facility housing the information system

automated mechanisms for water shutoff valves

automated mechanisms detecting presence of water in vicinity of information system

alerts/notifications of water detection in information system facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing water detection capability and alerts for the information system

References: None

PE-16 DELIVERY AND REMOVAL

Label: INSERT into pe-16

Parameter: pe-16_prm_1 organization-defined types of information system components

Control

The organization authorizes, monitors, and controls pe-16_prm_1 INSERT into pe-16 [NO PARAMETER VALUE GIVEN] entering and exiting the facility and maintains records of those items.

Supplemental guidance

Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.

cf CM-3: CONFIGURATION CHANGE CONTROL

cf MA-2: CONTROLLED MAINTENANCE

cf MA-3: MAINTENANCE TOOLS

cf MP-5: MEDIA TRANSPORT

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;

[2]	authorizes organization-defined information system components entering the facility;

[3]	monitors organization-defined information system components entering the facility;

[4]	controls organization-defined information system components entering the facility;

[5]	authorizes organization-defined information system components exiting the facility;

[6]	monitors organization-defined information system components exiting the facility;

[7]	controls organization-defined information system components exiting the facility;

[8]	maintains records of information system components entering the facility; and

[9]	maintains records of information system components exiting the facility.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing delivery and removal of information system components from the facility

security plan

facility housing the information system

records of items entering and exiting the facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for controlling information system components entering and exiting the facility

organizational personnel with information security responsibilities

Assessment: TEST

Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility

automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility

References: None

PE-17 ALTERNATE WORK SITE

Label: INSERT into pe-17_smt_a (PE-17a.)

Parameter: pe-17_prm_1 organization-defined security controls

Control

The organization:

a.	Employs pe-17_prm_1 INSERT into pe-17_smt_a (PE-17a.) [NO PARAMETER VALUE GIVEN] at alternate work sites;

b.	Assesses as feasible, the effectiveness of security controls at alternate work sites; and

c.	Provides a means for employees to communicate with information security personnel in case of security incidents or problems.

Supplemental guidance

Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.

cf AC-17: REMOTE ACCESS

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization:

(a)

[1]	defines security controls to be employed at alternate work sites;

[2]	employs organization-defined security controls at alternate work sites;

(b)	assesses, as feasible, the effectiveness of security controls at alternate work sites; and

(c)	provides a means for employees to communicate with information security personnel in case of security incidents or problems.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing alternate work sites for organizational personnel

security plan

list of security controls required for alternate work sites

assessments of security controls at alternate work sites

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel approving use of alternate work sites

organizational personnel using alternate work sites

organizational personnel assessing controls at alternate work sites

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security at alternate work sites

automated mechanisms supporting alternate work sites

security controls employed at alternate work sites

means of communications between personnel at alternate work sites and security personnel

References

cf NIST Special Publication 800-46

PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS

Label: INSERT into pe-18

Parameter: pe-18_prm_1 organization-defined physical and environmental hazards

Control

The organization positions information system components within the facility to minimize potential damage from pe-18_prm_1 INSERT into pe-18 [NO PARAMETER VALUE GIVEN] and to minimize the opportunity for unauthorized access.

Supplemental guidance

Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).

cf CP-2: CONTINGENCY PLAN

cf PE-19: INFORMATION LEAKAGE

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

[1]	defines physical hazards that could result in potential damage to information system components within the facility;

[2]	defines environmental hazards that could result in potential damage to information system components within the facility;

[3]	positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and

[4]	positions information system components within the facility to minimize the opportunity for unauthorized access.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing positioning of information system components

documentation providing the location and position of information system components within the facility

locations housing information system components within the facility

list of physical and environmental hazards with potential to damage information system components within the facility

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for positioning information system components

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for positioning information system components

Control enhancements

PE-18 (1) FACILITY SITE

Control

The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.

Supplemental guidance

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

Objectives

Determine if the organization:

[1]	plans the location or site of the facility where the information system resides with regard to physical hazards;

[2]	plans the location or site of the facility where the information system resides with regard to environmental hazards;

[3]	for existing facilities, considers the physical hazards in its risk mitigation strategy; and

[4]	for existing facilities, considers the environmental hazards in its risk mitigation strategy.

Assessment: EXAMINE

Physical and environmental protection policy

physical site planning documents

organizational assessment of risk, contingency plan

risk mitigation strategy documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with site selection responsibilities for the facility housing the information system

organizational personnel with risk mitigation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for site planning

References: None

PE-19 INFORMATION LEAKAGE

Control

The organization protects the information system from information leakage due to electromagnetic signals emanations.

Supplemental guidance

Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.

Objective

Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing information leakage due to electromagnetic signals emanations

mechanisms protecting the information system against electronic signals emanation

facility housing the information system

records from electromagnetic signals emanation tests

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations

Control enhancements

PE-19 (1) NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES

Control

The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.

Objectives

Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:

[1]	information system components;

[2]	associated data communications; and

[3]

networks.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures

information system component design documentation

information system configuration settings and associated documentation other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibilities for information system environmental controls

organizational personnel with information security responsibilities

Assessment: TEST

Information system components for compliance with national emissions and TEMPEST policies and procedures

References

cf FIPS Publication 199

PE-20 ASSET MONITORING AND TRACKING

Label: INSERT into pe-20_smt_a (PE-20a.)

Parameter: pe-20_prm_1 organization-defined asset location technologies

Label: INSERT into pe-20_smt_a (PE-20a.)

Parameter: pe-20_prm_2 organization-defined assets

Label: INSERT into pe-20_smt_a (PE-20a.)

Parameter: pe-20_prm_3 organization-defined controlled areas

Control

The organization:

a.	Employs pe-20_prm_1 INSERT into pe-20_smt_a (PE-20a.) [NO PARAMETER VALUE GIVEN] to track and monitor the location and movement of pe-20_prm_2 INSERT into pe-20_smt_a (PE-20a.) [NO PARAMETER VALUE GIVEN] within pe-20_prm_3 INSERT into pe-20_smt_a (PE-20a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.

Supplemental guidance

Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

Objectives

Determine if the organization:

(a)

[1]	defines assets whose location and movement are to be tracked and monitored;

[2]	defines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;

[3]	defines controlled areas within which to track and monitor organization-defined assets;

[4]	employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and

(b)	ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.

Assessment: EXAMINE

Physical and environmental protection policy

procedures addressing asset monitoring and tracking

asset location technologies and associated configuration documentation

list of organizational assets requiring tracking and monitoring

asset monitoring and tracking records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with asset monitoring and tracking responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for tracking and monitoring assets

automated mechanisms supporting and/or implementing tracking and monitoring of assets

References: None

PLANNING

PL-1 SECURITY PLANNING POLICY AND PROCEDURES

Label: INSERT into pl-1_smt_a (PL-1a.)

Parameter: pl-1_prm_1 organization-defined personnel or roles

Label: INSERT into pl-1_smt_b.1 (PL-1b.1.)

Parameter: pl-1_prm_2 organization-defined frequency

Label: INSERT into pl-1_smt_b.2 (PL-1b.2.)

Parameter: pl-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to pl-1_prm_1 INSERT into pl-1_smt_a (PL-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and

Reviews and updates the current:

1.	Security planning policy pl-1_prm_2 INSERT into pl-1_smt_b.1 (PL-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Security planning procedures pl-1_prm_3 INSERT into pl-1_smt_b.2 (PL-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a planning policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the planning policy is to be disseminated;

[3]	disseminates the planning policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current planning policy;

[2]	reviews and updates the current planning policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current planning procedures; and

[2]	reviews and updates the current planning procedures with the organization-defined frequency.

Assessment: EXAMINE

Planning policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with planning responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-18

cf NIST Special Publication 800-100

PL-2 SYSTEM SECURITY PLAN

Label: INSERT into pl-2_smt_b (PL-2b.)

Parameter: pl-2_prm_1 organization-defined personnel or roles

Label: INSERT into pl-2_smt_c (PL-2c.)

Parameter: pl-2_prm_2 organization-defined frequency

Control

The organization:

Develops a security plan for the information system that:

1.	Is consistent with the organization’s enterprise architecture;

2.	Explicitly defines the authorization boundary for the system;

3.	Describes the operational context of the information system in terms of missions and business processes;

4.	Provides the security categorization of the information system including supporting rationale;

5.	Describes the operational environment for the information system and relationships with or connections to other information systems;

6.	Provides an overview of the security requirements for the system;

7.	Identifies any relevant overlays, if applicable;

8.	Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and

9.	Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

b.	Distributes copies of the security plan and communicates subsequent changes to the plan to pl-2_prm_1 INSERT into pl-2_smt_b (PL-2b.) [NO PARAMETER VALUE GIVEN] ;

c.	Reviews the security plan for the information system pl-2_prm_2 INSERT into pl-2_smt_c (PL-2c.) [NO PARAMETER VALUE GIVEN] ;

d.	Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and

e.	Protects the security plan from unauthorized disclosure and modification.

Supplemental guidance

Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-6: LEAST PRIVILEGE

cf AC-14: PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

cf AC-17: REMOTE ACCESS

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf CA-2: SECURITY ASSESSMENTS

cf CA-3: SYSTEM INTERCONNECTIONS

cf CA-7: CONTINUOUS MONITORING

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf CP-2: CONTINGENCY PLAN

cf IR-8: INCIDENT RESPONSE PLAN

cf MA-4: NONLOCAL MAINTENANCE

cf MA-5: MAINTENANCE PERSONNEL

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf PL-7: SECURITY CONCEPT OF OPERATIONS

cf PM-1: INFORMATION SECURITY PROGRAM PLAN

cf PM-7: ENTERPRISE ARCHITECTURE

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

cf PM-9: RISK MANAGEMENT STRATEGY

cf PM-11: MISSION/BUSINESS PROCESS DEFINITION

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-17: DEVELOPER SECURITY ARCHITECTURE AND DESIGN

Objectives

Determine if the organization:

(a)

develops a security plan for the information system that:

(1)	is consistent with the organization’s enterprise architecture;

(2)	explicitly defines the authorization boundary for the system;

(3)	describes the operational context of the information system in terms of missions and business processes;

(4)	provides the security categorization of the information system including supporting rationale;

(5)	describes the operational environment for the information system and relationships with or connections to other information systems;

(6)	provides an overview of the security requirements for the system;

(7)	identifies any relevant overlays, if applicable;

(8)	describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;

(9)	is reviewed and approved by the authorizing official or designated representative prior to plan implementation;

(b)

[1]	defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;

[2]	distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;

(c)

[1]	defines the frequency to review the security plan for the information system;

[2]	reviews the security plan for the information system with the organization-defined frequency;

(d)

updates the plan to address:

[1]	changes to the information system/environment of operation;

[2]	problems identified during plan implementation;

[3]	problems identified during security control assessments;

(e)

protects the security plan from unauthorized:

[1]	disclosure; and

[2]	modification.

Assessment: EXAMINE

Security planning policy

procedures addressing security plan development and implementation

procedures addressing security plan reviews and updates

enterprise architecture documentation

security plan for the information system

records of security plan reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security plan development/review/update/approval

automated mechanisms supporting the information system security plan

Control enhancements

PL-2 (1) CONCEPT OF OPERATIONS

cf PL-7: SECURITY CONCEPT OF OPERATIONS

Control

Withdrawn: Incorporated into PL-7.

PL-2 (2) FUNCTIONAL ARCHITECTURE

cf PL-8: INFORMATION SECURITY ARCHITECTURE

Control

Withdrawn: Incorporated into PL-8.

PL-2 (3) PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES

Label: INSERT into pl-2..3.

Parameter: pl-2_prm_3 organization-defined individuals or groups

Control

The organization plans and coordinates security-related activities affecting the information system with pl-2_prm_3 INSERT into pl-2..3. [NO PARAMETER VALUE GIVEN] before conducting such activities in order to reduce the impact on other organizational entities.

Supplemental guidance

Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.

cf CP-4: CONTINGENCY PLAN TESTING

cf IR-4: INCIDENT HANDLING

Objectives

Determine if the organization:

[1]	defines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and

[2]	plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.

Assessment: EXAMINE

Security planning policy

access control policy

contingency planning policy

procedures addressing security-related activity planning for the information system

security plan for the information system

contingency plan for the information system

information system design documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational individuals or groups with whom security-related activities are to be planned and coordinated

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-18

PL-3 SYSTEM SECURITY PLAN UPDATE

cf PL-2: SYSTEM SECURITY PLAN

Control

Withdrawn: Incorporated into PL-2.

References: None

PL-4 RULES OF BEHAVIOR

Label: INSERT into pl-4_smt_c (PL-4c.)

Parameter: pl-4_prm_1 organization-defined frequency

Control

The organization:

a.	Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

b.	Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

c.	Reviews and updates the rules of behavior pl-4_prm_1 INSERT into pl-4_smt_c (PL-4c.) [NO PARAMETER VALUE GIVEN] ; and

d.	Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.

Supplemental guidance

This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.

cf AC-2: ACCOUNT MANAGEMENT

cf AC-6: LEAST PRIVILEGE

cf AC-8: SYSTEM USE NOTIFICATION

cf AC-9: PREVIOUS LOGON (ACCESS) NOTIFICATION

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf AC-20: USE OF EXTERNAL INFORMATION SYSTEMS

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CM-11: USER-INSTALLED SOFTWARE

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf MP-7: MEDIA USE

cf PS-6: ACCESS AGREEMENTS

cf PS-8: PERSONNEL SANCTIONS

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization:

(a)

[1]	establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

[2]	makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;

(b)	receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;

(c)

[1]	defines the frequency to review and update the rules of behavior;

[2]	reviews and updates the rules of behavior with the organization-defined frequency; and

(d)	requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.

Assessment: EXAMINE

Security planning policy

procedures addressing rules of behavior for information system users

rules of behavior

signed acknowledgements

records for rules of behavior reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior

automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior

Control enhancements

PL-4 (1) SOCIAL MEDIA AND NETWORKING RESTRICTIONS

Control

The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.

Supplemental guidance

This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.

Objectives

Determine if the organization includes the following in the rules of behavior:

[1]	explicit restrictions on the use of social media/networking sites; and

[2]	posting organizational information on public websites.

Assessment: EXAMINE

Security planning policy

procedures addressing rules of behavior for information system users

rules of behavior

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior

organizational personnel who are authorized users of the information system and have signed rules of behavior

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for establishing rules of behavior

automated mechanisms supporting and/or implementing the establishment of rules of behavior

References

cf NIST Special Publication 800-18

PL-5 PRIVACY IMPACT ASSESSMENT

Appendix J

AR-2

Control

Withdrawn: Incorporated into Appendix J, AR-2.

References: None

PL-6 SECURITY-RELATED ACTIVITY PLANNING

cf PL-2: SYSTEM SECURITY PLAN

Control

Withdrawn: Incorporated into PL-2.

References: None

PL-7 SECURITY CONCEPT OF OPERATIONS

Label: INSERT into pl-7_smt_b (PL-7b.)

Parameter: pl-7_prm_1 organization-defined frequency

Control

The organization:

a.	Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and

b.	Reviews and updates the CONOPS pl-7_prm_1 INSERT into pl-7_smt_b (PL-7b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).

cf PL-2: SYSTEM SECURITY PLAN

Objectives

Determine if the organization:

(a)	develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;

(b)

[1]	defines the frequency to review and update the security CONOPS; and

[2]	reviews and updates the security CONOPS with the organization-defined frequency.

Assessment: EXAMINE

Security planning policy

procedures addressing security CONOPS development

procedures addressing security CONOPS reviews and updates

security CONOPS for the information system

security plan for the information system

records of security CONOPS reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for developing, reviewing, and updating the security CONOPS

automated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS

References: None

PL-8 INFORMATION SECURITY ARCHITECTURE

Label: INSERT into pl-8_smt_b (PL-8b.)

Parameter: pl-8_prm_1 organization-defined frequency

Control

The organization:

Develops an information security architecture for the information system that:

1.	Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

2.	Describes how the information security architecture is integrated into and supports the enterprise architecture; and

3.	Describes any information security assumptions about, and dependencies on, external services;

b.	Reviews and updates the information security architecture pl-8_prm_1 INSERT into pl-8_smt_b (PL-8b.) [NO PARAMETER VALUE GIVEN] to reflect updates in the enterprise architecture; and

c.	Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.

Supplemental guidance

This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today’s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization’s enterprise architecture and information security architecture.

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

cf PL-2: SYSTEM SECURITY PLAN

cf PM-7: ENTERPRISE ARCHITECTURE

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-17: DEVELOPER SECURITY ARCHITECTURE AND DESIGN

Appendix J

Objectives

Determine if the organization:

(a)

develops an information security architecture for the information system that describes:

(1)	the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;

(2)	how the information security architecture is integrated into and supports the enterprise architecture;

(3)	any information security assumptions about, and dependencies on, external services;

(b)

[1]	defines the frequency to review and update the information security architecture;

[2]	reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;

(c)

ensures that planned information security architecture changes are reflected in:

[1]	the security plan;

[2]	the security Concept of Operations (CONOPS); and

[3]	the organizational procurements/acquisitions.

Assessment: EXAMINE

Security planning policy

procedures addressing information security architecture development

procedures addressing information security architecture reviews and updates

enterprise architecture documentation

information security architecture documentation

security plan for the information system

security CONOPS for the information system

records of information security architecture reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security architecture development responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for developing, reviewing, and updating the information security architecture

automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture

Control enhancements

PL-8 (1) DEFENSE-IN-DEPTH

Label: INSERT into pl-8..1._smt_a (PL-8 (1)(a))

Parameter: pl-8_prm_2 organization-defined security safeguards

Label: INSERT into pl-8..1._smt_a (PL-8 (1)(a))

Parameter: pl-8_prm_3 organization-defined locations and architectural layers

Control

The organization designs its security architecture using a defense-in-depth approach that:

(a)	Allocates pl-8_prm_2 INSERT into pl-8..1._smt_a (PL-8 (1)(a)) [NO PARAMETER VALUE GIVEN] to pl-8_prm_3 INSERT into pl-8..1._smt_a (PL-8 (1)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.

Supplemental guidance

Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.

cf SC-29: HETEROGENEITY

cf SC-36: DISTRIBUTED PROCESSING AND STORAGE

Objectives

Determine if the organization:

(a)

[1]	defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;

[2]	defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;

[3]	designs its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and

(b)	designs its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.

Assessment: EXAMINE

Security planning policy

procedures addressing information security architecture development

enterprise architecture documentation

information security architecture documentation

security plan for the information system

security CONOPS for the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security architecture development responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for designing the information security architecture

automated mechanisms supporting and/or implementing the design of the information security architecture

PL-8 (2) SUPPLIER DIVERSITY

Label: INSERT into pl-8..2.

Parameter: pl-8_prm_4 organization-defined security safeguards

Label: INSERT into pl-8..2.

Parameter: pl-8_prm_5 organization-defined locations and architectural layers

Control

The organization requires that pl-8_prm_4 INSERT into pl-8..2. [NO PARAMETER VALUE GIVEN] allocated to pl-8_prm_5 INSERT into pl-8..2. [NO PARAMETER VALUE GIVEN] are obtained from different suppliers.

Supplemental guidance

Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;

[2]	defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and

[3]	requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.

Assessment: EXAMINE

Security planning policy

procedures addressing information security architecture development

enterprise architecture documentation

information security architecture documentation

security plan for the information system

security CONOPS for the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with information security architecture development responsibilities

organizational personnel with acquisition responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for obtaining information security safeguards from different suppliers

References: None

PL-9 CENTRAL MANAGEMENT

Label: INSERT into pl-9

Parameter: pl-9_prm_1 organization-defined security controls and related processes

Control

The organization centrally manages pl-9_prm_1 INSERT into pl-9 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.

Objectives

Determine if the organization:

[1]	defines security controls and related processes to be centrally managed; and

[2]	centrally manages organization-defined security controls and related processes.

Assessment: EXAMINE

Security planning policy

procedures addressing security plan development and implementation

security plan for the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security planning and plan implementation responsibilities

organizational personnel with responsibilities for planning/implementing central management of security controls and related processes

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for central management of security controls and related processes

automated mechanisms supporting and/or implementing central management of security controls and related processes

References

cf NIST Special Publication 800-37

PERSONNEL SECURITY

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES

Label: INSERT into ps-1_smt_a (PS-1a.)

Parameter: ps-1_prm_1 organization-defined personnel or roles

Label: INSERT into ps-1_smt_b.1 (PS-1b.1.)

Parameter: ps-1_prm_2 organization-defined frequency

Label: INSERT into ps-1_smt_b.2 (PS-1b.2.)

Parameter: ps-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ps-1_prm_1 INSERT into ps-1_smt_a (PS-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and

Reviews and updates the current:

1.	Personnel security policy ps-1_prm_2 INSERT into ps-1_smt_b.1 (PS-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Personnel security procedures ps-1_prm_3 INSERT into ps-1_smt_b.2 (PS-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents an personnel security policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the personnel security policy is to be disseminated;

[3]	disseminates the personnel security policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current personnel security policy;

[2]	reviews and updates the current personnel security policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current personnel security procedures; and

[2]	reviews and updates the current personnel security procedures with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with access control responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

PS-2 POSITION RISK DESIGNATION

Label: INSERT into ps-2_smt_c (PS-2c.)

Parameter: ps-2_prm_1 organization-defined frequency

Control

The organization:

a.	Assigns a risk designation to all organizational positions;

b.	Establishes screening criteria for individuals filling those positions; and

c.	Reviews and updates position risk designations ps-2_prm_1 INSERT into ps-2_smt_c (PS-2c.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).

cf AT-3: ROLE-BASED SECURITY TRAINING

cf PL-2: SYSTEM SECURITY PLAN

cf PS-3: PERSONNEL SCREENING

Objectives

Determine if the organization:

(a)	assigns a risk designation to all organizational positions;

(b)	establishes screening criteria for individuals filling those positions;

(c)

[1]	defines the frequency to review and update position risk designations; and

[2]	reviews and updates position risk designations with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy

procedures addressing position categorization

appropriate codes of federal regulations

list of risk designations for organizational positions

security plan

records of position risk designation reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for assigning, reviewing, and updating position risk designations

organizational processes for establishing screening criteria

References

cf 5 C.F.R. 731.106

PS-3 PERSONNEL SCREENING

Label: INSERT into ps-3_smt_b (PS-3b.)

Parameter: ps-3_prm_1 organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening

Control

The organization:

a.	Screens individuals prior to authorizing access to the information system; and

b.	Rescreens individuals according to ps-3_prm_1 INSERT into ps-3_smt_b (PS-3b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.

cf AC-2: ACCOUNT MANAGEMENT

cf IA-4: IDENTIFIER MANAGEMENT

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PS-2: POSITION RISK DESIGNATION

Objectives

Determine if the organization:

(a)	screens individuals prior to authorizing access to the information system;

(b)

[1]	defines conditions requiring re-screening;

[2]	defines the frequency of re-screening where it is so indicated; and

[3]	re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel screening

records of screened personnel

security plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel screening

Control enhancements

PS-3 (1) CLASSIFIED INFORMATION

Control

The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.

Supplemental guidance

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

Objectives

Determine if the organization:

[1]	ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and

[2]	ensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel screening

records of screened personnel

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for clearing and indoctrinating personnel for access to classified information

PS-3 (2) FORMAL INDOCTRINATION

Control

The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.

Supplemental guidance

Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

Objective

Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel screening

records of screened personnel

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for formal indoctrination for all relevant types of information to which personnel have access

PS-3 (3) INFORMATION WITH SPECIAL PROTECTION MEASURES

Label: INSERT into ps-3..3._smt_b (PS-3 (3)(b))

Parameter: ps-3_prm_2 organization-defined additional personnel screening criteria

Control

The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:

(a)	Have valid access authorizations that are demonstrated by assigned official government duties; and

(b)	Satisfy ps-3_prm_2 INSERT into ps-3..3._smt_b (PS-3 (3)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.

Objectives

Determine if the organization:

(a)	ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;

(b)

[1]	defines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and

[2]	ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.

Assessment: EXAMINE

Personnel security policy

access control policy, procedures addressing personnel screening

records of screened personnel

screening criteria

records of access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for ensuring valid access authorizations for information requiring special protection

organizational process for additional personnel screening for information requiring special protection

References

cf 5 C.F.R. 731.106

cf FIPS Publication 199

cf FIPS Publication 201

cf NIST Special Publication 800-60

cf NIST Special Publication 800-73

cf NIST Special Publication 800-76

cf NIST Special Publication 800-78

cf ICD 704

PS-4 PERSONNEL TERMINATION

Label: INSERT into ps-4_smt_a (PS-4a.)

Parameter: ps-4_prm_1 organization-defined time period

Label: INSERT into ps-4_smt_c (PS-4c.)

Parameter: ps-4_prm_2 organization-defined information security topics

Label: INSERT into ps-4_smt_f (PS-4f.)

Parameter: ps-4_prm_3 organization-defined personnel or roles

Label: INSERT into ps-4_smt_f (PS-4f.)

Parameter: ps-4_prm_4 organization-defined time period

Control

The organization, upon termination of individual employment:

a.	Disables information system access within ps-4_prm_1 INSERT into ps-4_smt_a (PS-4a.) [NO PARAMETER VALUE GIVEN] ;

b.	Terminates/revokes any authenticators/credentials associated with the individual;

c.	Conducts exit interviews that include a discussion of ps-4_prm_2 INSERT into ps-4_smt_c (PS-4c.) [NO PARAMETER VALUE GIVEN] ;

d.	Retrieves all security-related organizational information system-related property;

e.	Retains access to organizational information and information systems formerly controlled by terminated individual; and

f.	Notifies ps-4_prm_3 INSERT into ps-4_smt_f (PS-4f.) [NO PARAMETER VALUE GIVEN] within ps-4_prm_4 INSERT into ps-4_smt_f (PS-4f.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.

cf AC-2: ACCOUNT MANAGEMENT

cf IA-4: IDENTIFIER MANAGEMENT

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PS-5: PERSONNEL TRANSFER

cf PS-6: ACCESS AGREEMENTS

Objectives

Determine if the organization, upon termination of individual employment,:

(a)

[1]	defines a time period within which to disable information system access;

[2]	disables information system access within the organization-defined time period;

(b)	terminates/revokes any authenticators/credentials associated with the individual;

(c)

[1]	defines information security topics to be discussed when conducting exit interviews;

[2]	conducts exit interviews that include a discussion of organization-defined information security topics;

(d)	retrieves all security-related organizational information system-related property;

(e)	retains access to organizational information and information systems formerly controlled by the terminated individual;

(f)

[1]	defines personnel or roles to be notified of the termination;

[2]	defines the time period within which to notify organization-defined personnel or roles; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel termination

records of personnel termination actions

list of information system accounts

records of terminated or revoked authenticators/credentials

records of exit interviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel termination

automated mechanisms supporting and/or implementing personnel termination notifications

automated mechanisms for disabling information system access/revoking authenticators

Control enhancements

PS-4 (1) POST-EMPLOYMENT REQUIREMENTS

Control

The organization:

(a)	Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and

(b)	Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.

Supplemental guidance

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Objectives

Determine if the organization:

(a)	notifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and

(b)	requires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel termination

signed post-employment acknowledgement forms

list of applicable, legally binding post-employment requirements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for post-employment requirements

PS-4 (2) AUTOMATED NOTIFICATION

Label: INSERT into ps-4..2.

Parameter: ps-4_prm_5 organization-defined personnel or roles

Control

The organization employs automated mechanisms to notify ps-4_prm_5 INSERT into ps-4..2. [NO PARAMETER VALUE GIVEN] upon termination of an individual.

Supplemental guidance

In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.

Objectives

Determine if the organization:

[1]	defines personnel or roles to be notified upon termination of an individual; and

[2]	employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel termination

information system design documentation

information system configuration settings and associated documentation

records of personnel termination actions

automated notifications of employee terminations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel termination

automated mechanisms supporting and/or implementing personnel termination notifications

References: None

PS-5 PERSONNEL TRANSFER

Label: INSERT into ps-5_smt_b (PS-5b.)

Parameter: ps-5_prm_1 organization-defined transfer or reassignment actions

Label: INSERT into ps-5_smt_b (PS-5b.)

Parameter: ps-5_prm_2 organization-defined time period following the formal transfer action

Label: INSERT into ps-5_smt_d (PS-5d.)

Parameter: ps-5_prm_3 organization-defined personnel or roles

Label: INSERT into ps-5_smt_d (PS-5d.)

Parameter: ps-5_prm_4 organization-defined time period

Control

The organization:

a.	Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;

b.	Initiates ps-5_prm_1 INSERT into ps-5_smt_b (PS-5b.) [NO PARAMETER VALUE GIVEN] within ps-5_prm_2 INSERT into ps-5_smt_b (PS-5b.) [NO PARAMETER VALUE GIVEN] ;

c.	Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and

d.	Notifies ps-5_prm_3 INSERT into ps-5_smt_d (PS-5d.) [NO PARAMETER VALUE GIVEN] within ps-5_prm_4 INSERT into ps-5_smt_d (PS-5d.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.

cf AC-2: ACCOUNT MANAGEMENT

cf IA-4: IDENTIFIER MANAGEMENT

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PS-4: PERSONNEL TERMINATION

Objectives

Determine if the organization:

(a)

when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:

[1]	logical access authorizations to information systems;

[2]	physical access authorizations to information systems and facilities;

(b)

[1]	defines transfer or reassignment actions to be initiated following transfer or reassignment;

[2]	defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;

[3]	initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;

(c)	modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;

(d)

[1]	defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;

[2]	defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel transfer

security plan

records of personnel transfer actions

list of information system and facility access authorizations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for personnel transfer

automated mechanisms supporting and/or implementing personnel transfer notifications

automated mechanisms for disabling information system access/revoking authenticators

References: None

PS-6 ACCESS AGREEMENTS

Label: INSERT into ps-6_smt_b (PS-6b.)

Parameter: ps-6_prm_1 organization-defined frequency

Label: INSERT into ps-6_smt_c.2 (PS-6c.2.)

Parameter: ps-6_prm_2 organization-defined frequency

Control

The organization:

a.	Develops and documents access agreements for organizational information systems;

b.	Reviews and updates the access agreements ps-6_prm_1 INSERT into ps-6_smt_b (PS-6b.) [NO PARAMETER VALUE GIVEN] ; and

Ensures that individuals requiring access to organizational information and information systems:

1.	Sign appropriate access agreements prior to being granted access; and

2.	Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or ps-6_prm_2 INSERT into ps-6_smt_c.2 (PS-6c.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

cf PL-4: RULES OF BEHAVIOR

cf PS-2: POSITION RISK DESIGNATION

cf PS-3: PERSONNEL SCREENING

cf PS-4: PERSONNEL TERMINATION

cf PS-8: PERSONNEL SANCTIONS

Objectives

Determine if the organization:

(a)	develops and documents access agreements for organizational information systems;

(b)

[1]	defines the frequency to review and update the access agreements;

[2]	reviews and updates the access agreements with the organization-defined frequency;

(c)

(1)	ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;

(2)

[1]	defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;

[2]	ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.

Assessment: EXAMINE

Personnel security policy

procedures addressing access agreements for organizational information and information systems

security plan

access agreements

records of access agreement reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel who have signed/resigned access agreements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access agreements

automated mechanisms supporting access agreements

Control enhancements

PS-6 (1) INFORMATION REQUIRING SPECIAL PROTECTION

cf PS-3: PERSONNEL SCREENING

Control

Withdrawn: Incorporated into PS-3.

PS-6 (2) CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION

Control

The organization ensures that access to classified information requiring special protection is granted only to individuals who:

(a)	Have a valid access authorization that is demonstrated by assigned official government duties;

(b)	Satisfy associated personnel security criteria; and

(c)	Have read, understood, and signed a nondisclosure agreement.

Supplemental guidance

Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.

Objectives

Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:

(a)	have a valid access authorization that is demonstrated by assigned official government duties;

(b)	satisfy associated personnel security criteria; and

(c)	have read, understood, and signed a nondisclosure agreement.

Assessment: EXAMINE

Personnel security policy

procedures addressing access agreements for organizational information and information systems

access agreements

access authorizations

personnel security criteria

signed nondisclosure agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel who have signed nondisclosure agreements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for access to classified information requiring special protection

PS-6 (3) POST-EMPLOYMENT REQUIREMENTS

Control

The organization:

(a)	Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

(b)	Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.

Supplemental guidance

Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Objectives

Determine if the organization:

(a)	notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and

(b)	requires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.

Assessment: EXAMINE

Personnel security policy

procedures addressing access agreements for organizational information and information systems

signed post-employment acknowledgement forms

access agreements

list of applicable, legally binding post-employment requirements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel who have signed access agreements that include post-employment requirements

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for post-employment requirements

automated mechanisms supporting notifications and individual acknowledgements of post-employment requirements

References: None

PS-7 THIRD-PARTY PERSONNEL SECURITY

Label: INSERT into ps-7_smt_d (PS-7d.)

Parameter: ps-7_prm_1 organization-defined personnel or roles

Label: INSERT into ps-7_smt_d (PS-7d.)

Parameter: ps-7_prm_2 organization-defined time period

Control

The organization:

a.	Establishes personnel security requirements including security roles and responsibilities for third-party providers;

b.	Requires third-party providers to comply with personnel security policies and procedures established by the organization;

c.	Documents personnel security requirements;

Requires third-party providers to notify ps-7_prm_1 INSERT into ps-7_smt_d (PS-7d.) [NO PARAMETER VALUE GIVEN] of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within ps-7_prm_2 INSERT into ps-7_smt_d (PS-7d.) [NO PARAMETER VALUE GIVEN] ; and

e.	Monitors provider compliance.

Supplemental guidance

Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.

cf PS-2: POSITION RISK DESIGNATION

cf PS-3: PERSONNEL SCREENING

cf PS-4: PERSONNEL TERMINATION

cf PS-5: PERSONNEL TRANSFER

cf PS-6: ACCESS AGREEMENTS

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

cf SA-21: DEVELOPER SCREENING

Objectives

Determine if the organization:

(a)	establishes personnel security requirements, including security roles and responsibilities, for third-party providers;

(b)	requires third-party providers to comply with personnel security policies and procedures established by the organization;

(c)	documents personnel security requirements;

(d)

[1]	defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

[2]	defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;

[3]	requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and

(e)	monitors provider compliance.

Assessment: EXAMINE

Personnel security policy

procedures addressing third-party personnel security

list of personnel security requirements

acquisition documents

service-level agreements

compliance monitoring process

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

third-party providers

system/network administrators

organizational personnel with account management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing and monitoring third-party personnel security

automated mechanisms supporting and/or implementing monitoring of provider compliance

References

cf NIST Special Publication 800-35

PS-8 PERSONNEL SANCTIONS

Label: INSERT into ps-8_smt_b (PS-8b.)

Parameter: ps-8_prm_1 organization-defined personnel or roles

Label: INSERT into ps-8_smt_b (PS-8b.)

Parameter: ps-8_prm_2 organization-defined time period

Control

The organization:

a.	Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and

b.	Notifies ps-8_prm_1 INSERT into ps-8_smt_b (PS-8b.) [NO PARAMETER VALUE GIVEN] within ps-8_prm_2 INSERT into ps-8_smt_b (PS-8b.) [NO PARAMETER VALUE GIVEN] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

Supplemental guidance

Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.

cf PL-4: RULES OF BEHAVIOR

cf PS-6: ACCESS AGREEMENTS

Objectives

Determine if the organization:

(a)	employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;

(b)

[1]	defines personnel or roles to be notified when a formal employee sanctions process is initiated;

[2]	defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and

[3]	notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.

Assessment: EXAMINE

Personnel security policy

procedures addressing personnel sanctions

rules of behavior

records of formal sanctions

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with personnel security responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for managing personnel sanctions

automated mechanisms supporting and/or implementing notifications

References: None

RISK ASSESSMENT

RA-1 RISK ASSESSMENT POLICY AND PROCEDURES

Label: INSERT into ra-1_smt_a (RA-1a.)

Parameter: ra-1_prm_1 organization-defined personnel or roles

Label: INSERT into ra-1_smt_b.1 (RA-1b.1.)

Parameter: ra-1_prm_2 organization-defined frequency

Label: INSERT into ra-1_smt_b.2 (RA-1b.2.)

Parameter: ra-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to ra-1_prm_1 INSERT into ra-1_smt_a (RA-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and

Reviews and updates the current:

1.	Risk assessment policy ra-1_prm_2 INSERT into ra-1_smt_b.1 (RA-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Risk assessment procedures ra-1_prm_3 INSERT into ra-1_smt_b.2 (RA-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a risk assessment policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the risk assessment policy is to be disseminated;

[3]	disseminates the risk assessment policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current risk assessment policy;

[2]	reviews and updates the current risk assessment policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current risk assessment procedures; and

[2]	reviews and updates the current risk assessment procedures with the organization-defined frequency.

Assessment: EXAMINE

risk assessment policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-30

cf NIST Special Publication 800-100

RA-2 SECURITY CATEGORIZATION

Control

The organization:

a.	Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

b.	Documents the security categorization results (including supporting rationale) in the security plan for the information system; and

c.	Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

Supplemental guidance

Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf MP-4: MEDIA STORAGE

cf RA-3: RISK ASSESSMENT

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

(a)	categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

(b)	documents the security categorization results (including supporting rationale) in the security plan for the information system; and

(c)	ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.

Assessment: EXAMINE

Risk assessment policy

security planning policy and procedures

procedures addressing security categorization of organizational information and information systems

security plan

security categorization documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security categorization and risk assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security categorization

References

cf FIPS Publication 199

cf NIST Special Publication 800-30

cf NIST Special Publication 800-39

cf NIST Special Publication 800-60

RA-3 RISK ASSESSMENT

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: ra-3_prm_1 Insertion into RA-3b.

security plan

risk assessment report

ra-3_prm_2 INSERT into ra-3_smt_b (RA-3b.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into ra-3_smt_b (RA-3b.)

Parameter: ra-3_prm_2 organization-defined document

Label: INSERT into ra-3_smt_c (RA-3c.)

Parameter: ra-3_prm_3 organization-defined frequency

Label: INSERT into ra-3_smt_d (RA-3d.)

Parameter: ra-3_prm_4 organization-defined personnel or roles

Label: INSERT into ra-3_smt_e (RA-3e.)

Parameter: ra-3_prm_5 organization-defined frequency

Control

The organization:

a.	Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;

b.	Documents risk assessment results in ra-3_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } security plan risk assessment report [NO PARAMETER VALUE GIVEN] ;

c.	Reviews risk assessment results ra-3_prm_3 INSERT into ra-3_smt_c (RA-3c.) [NO PARAMETER VALUE GIVEN] ;

d.	Disseminates risk assessment results to ra-3_prm_4 INSERT into ra-3_smt_d (RA-3d.) [NO PARAMETER VALUE GIVEN] ; and

Updates the risk assessment ra-3_prm_5 INSERT into ra-3_smt_e (RA-3e.) [NO PARAMETER VALUE GIVEN] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.

Supplemental guidance

Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.

cf RA-2: SECURITY CATEGORIZATION

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)

conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:

[1]	the information system;

[2]	the information the system processes, stores, or transmits;

(b)

[1]	defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);

[2]

documents risk assessment results in one of the following:

[a]	the security plan;

[b]	the risk assessment report; or

[c]	the organization-defined document;

(c)

[1]	defines the frequency to review risk assessment results;

[2]	reviews risk assessment results with the organization-defined frequency;

(d)

[1]	defines personnel or roles to whom risk assessment results are to be disseminated;

[2]	disseminates risk assessment results to organization-defined personnel or roles;

(e)

[1]	defines the frequency to update the risk assessment;

[2]

updates the risk assessment:

[a]	with the organization-defined frequency;

[b]	whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and

[c]	whenever there are other conditions that may impact the security state of the system.

Assessment: EXAMINE

Risk assessment policy

security planning policy and procedures

procedures addressing organizational assessments of risk

security plan

risk assessment

risk assessment results

risk assessment reviews

risk assessment updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for risk assessment

automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment

References

cf OMB Memorandum 04-04

cf NIST Special Publication 800-30

cf NIST Special Publication 800-39

cf http://idmanagement.gov

RA-4 RISK ASSESSMENT UPDATE

cf RA-3: RISK ASSESSMENT

Control

Withdrawn: Incorporated into RA-3.

References: None

RA-5 VULNERABILITY SCANNING

Label: INSERT into ra-5_smt_a (RA-5a.)

Parameter: ra-5_prm_1 organization-defined frequency and/or randomly in accordance with organization-defined process

Label: INSERT into ra-5_smt_d (RA-5d.)

Parameter: ra-5_prm_2 organization-defined response times

Label: INSERT into ra-5_smt_e (RA-5e.)

Parameter: ra-5_prm_3 organization-defined personnel or roles

Control

The organization:

a.	Scans for vulnerabilities in the information system and hosted applications ra-5_prm_1 INSERT into ra-5_smt_a (RA-5a.) [NO PARAMETER VALUE GIVEN] and when new vulnerabilities potentially affecting the system/applications are identified and reported;

Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

1.	Enumerating platforms, software flaws, and improper configurations;

2.	Formatting checklists and test procedures; and

3.	Measuring vulnerability impact;

c.	Analyzes vulnerability scan reports and results from security control assessments;

d.	Remediates legitimate vulnerabilities ra-5_prm_2 INSERT into ra-5_smt_d (RA-5d.) [NO PARAMETER VALUE GIVEN] in accordance with an organizational assessment of risk; and

e.	Shares information obtained from the vulnerability scanning process and security control assessments with ra-5_prm_3 INSERT into ra-5_smt_e (RA-5e.) [NO PARAMETER VALUE GIVEN] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

Supplemental guidance

Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf CM-4: SECURITY IMPACT ANALYSIS

cf CM-6: CONFIGURATION SETTINGS

cf RA-2: SECURITY CATEGORIZATION

cf RA-3: RISK ASSESSMENT

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

(a)

[1]

[a]	defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or

[b]	defines the process for conducting random vulnerability scans on the information system and hosted applications;

[2]

in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:

[a]	the information system;

[b]	hosted applications;

[3]

when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:

[a]	the information system;

[b]	hosted applications;

(b)

employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:

(1)

[1]	enumerating platforms;

[2]	enumerating software flaws;

[3]	enumerating improper configurations;

(2)

[1]	formatting checklists;

[2]	formatting test procedures;

(3)	measuring vulnerability impact;

(c)

[1]	analyzes vulnerability scan reports;

[2]	analyzes results from security control assessments;

(d)

[1]	defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;

[2]	remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;

(e)

[1]	defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;

[2]	shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and

[3]	shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

risk assessment

security plan

security assessment report

vulnerability scanning tools and associated configuration documentation

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with vulnerability remediation responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for vulnerability scanning, analysis, remediation, and information sharing

automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing

Control enhancements

RA-5 (1) UPDATE TOOL CAPABILITY

Control

The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.

Supplemental guidance

The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.

Assessment: EXAMINE

Procedures addressing vulnerability scanning

security plan

security assessment report

vulnerability scanning tools and associated configuration documentation

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

automated mechanisms/tools supporting and/or implementing vulnerability scanning

RA-5 (2) UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

ra-5_prm_5 INSERT into ra-5..2. [NO PARAMETER VALUE GIVEN]

prior to a new scan

when new vulnerabilities are identified and reported

Label: INSERT into ra-5..2.

Parameter: ra-5_prm_5 organization-defined frequency

Control

The organization updates the information system vulnerabilities scanned ra-5_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } prior to a new scan when new vulnerabilities are identified and reported [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-5: SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Objectives

Determine if the organization:

[1]	defines the frequency to update the information system vulnerabilities scanned;

[2]

updates the information system vulnerabilities scanned one or more of the following:

[a]	with the organization-defined frequency;

[b]	prior to a new scan; and/or

[c]	when new vulnerabilities are identified and reported.

Assessment: EXAMINE

Procedures addressing vulnerability scanning

security plan

security assessment report

vulnerability scanning tools and associated configuration documentation

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for vulnerability scanning

automated mechanisms/tools supporting and/or implementing vulnerability scanning

RA-5 (3) BREADTH / DEPTH OF COVERAGE

Control

The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).

Objectives

Determine if the organization employs vulnerability scanning procedures that can identify:

[1]	the breadth of coverage (i.e., information system components scanned); and

[2]	the depth of coverage (i.e., vulnerabilities checked).

Assessment: EXAMINE

Procedures addressing vulnerability scanning

security plan

security assessment report

vulnerability scanning tools and associated configuration documentation

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

automated mechanisms/tools supporting and/or implementing vulnerability scanning

RA-5 (4) DISCOVERABLE INFORMATION

Label: INSERT into ra-5..4.

Parameter: ra-5_prm_6 organization-defined corrective actions

Control

The organization determines what information about the information system is discoverable by adversaries and subsequently takes ra-5_prm_6 INSERT into ra-5..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.

cf AU-13: MONITORING FOR INFORMATION DISCLOSURE

Objectives

Determine if the organization:

[1]	defines corrective actions to be taken if information about the information system is discoverable by adversaries;

[2]	determines what information about the information system is discoverable by adversaries; and

[3]	subsequently takes organization-defined corrective actions.

Assessment: EXAMINE

Procedures addressing vulnerability scanning

security assessment report

penetration test results

vulnerability scanning results

risk assessment report

records of corrective actions taken

incident response records

audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning and/or penetration testing responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel responsible for risk response

organizational personnel responsible for incident management and response

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

organizational processes for risk response

organizational processes for incident management and response

automated mechanisms/tools supporting and/or implementing vulnerability scanning

automated mechanisms supporting and/or implementing risk response

automated mechanisms supporting and/or implementing incident management and response

RA-5 (5) PRIVILEGED ACCESS

Label: INSERT into ra-5..5.

Parameter: ra-5_prm_7 organization-identified information system components

Label: INSERT into ra-5..5.

Parameter: ra-5_prm_8 organization-defined vulnerability scanning activities

Control

The information system implements privileged access authorization to ra-5_prm_7 INSERT into ra-5..5. [NO PARAMETER VALUE GIVEN] for selected ra-5_prm_8 INSERT into ra-5..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.

Objectives

Determine if:

[1]	the organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;

[2]	the organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and

[3]	the information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

security plan

information system design documentation

information system configuration settings and associated documentation

list of information system components for vulnerability scanning

personnel access authorization list

authorization credentials

access authorization records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

system/network administrators

organizational personnel responsible for access control to the information system

organizational personnel responsible for configuration management of the information system

system developers

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

organizational processes for access control

automated mechanisms supporting and/or implementing access control

automated mechanisms/tools supporting and/or implementing vulnerability scanning

RA-5 (6) AUTOMATED TREND ANALYSES

Control

The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.

Supplemental guidance

cf IR-4: INCIDENT HANDLING

cf IR-5: INCIDENT MONITORING

cf SI-4: INFORMATION SYSTEM MONITORING

Objective

Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

information system design documentation

vulnerability scanning tools and techniques documentation

vulnerability scanning results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

automated mechanisms/tools supporting and/or implementing vulnerability scanning

automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results

RA-5 (7) AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

Control

Withdrawn: Incorporated into CM-8.

RA-5 (8) REVIEW HISTORIC AUDIT LOGS

Control

The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.

Supplemental guidance

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objective

Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

audit logs

records of audit log reviews

vulnerability scanning results

patch and vulnerability management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with audit record review responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

organizational process for audit record review and response

automated mechanisms/tools supporting and/or implementing vulnerability scanning

automated mechanisms supporting and/or implementing audit record review

RA-5 (9) PENETRATION TESTING AND ANALYSES

cf CA-8: PENETRATION TESTING

Control

Withdrawn: Incorporated into CA-8.

RA-5 (10) CORRELATE SCANNING INFORMATION

Control

The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.

Objective

Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.

Assessment: EXAMINE

Risk assessment policy

procedures addressing vulnerability scanning

risk assessment

security plan

vulnerability scanning tools and techniques documentation

vulnerability scanning results

vulnerability management records

audit records

event/vulnerability correlation logs

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with vulnerability scanning responsibilities

organizational personnel with vulnerability scan analysis responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for vulnerability scanning

automated mechanisms/tools supporting and/or implementing vulnerability scanning

automated mechanisms implementing correlation of vulnerability scan results

References

cf NIST Special Publication 800-40

cf NIST Special Publication 800-70

cf NIST Special Publication 800-115

cf http://cwe.mitre.org

cf http://nvd.nist.gov

RA-6 TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY

Label: INSERT into ra-6

Parameter: ra-6_prm_1 organization-defined locations

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

ra-6_prm_3 INSERT into ra-6 [NO PARAMETER VALUE GIVEN]

ra-6_prm_4 INSERT into ra-6 [NO PARAMETER VALUE GIVEN]

Label: INSERT into ra-6

Parameter: ra-6_prm_3 organization-defined frequency

Label: INSERT into ra-6

Parameter: ra-6_prm_4 organization-defined events or indicators occur

Control

The organization employs a technical surveillance countermeasures survey at ra-6_prm_1 INSERT into ra-6 [NO PARAMETER VALUE GIVEN] ra-6_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.

Objectives

Determine if the organization:

[1]	defines locations to employ technical surveillance countermeasure surveys;

[2]	defines a frequency to employ technical surveillance countermeasure surveys;

[3]	defines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;

[4]

employs a technical surveillance countermeasures survey at organization-defined locations one or more of the following:

[a]	with the organization-defined frequency; and/or

[b]	when organization-defined events or indicators occur.

Assessment: EXAMINE

Risk assessment policy

procedures addressing technical surveillance countermeasures surveys

security plan

audit records/event logs

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with technical surveillance countermeasures surveys responsibilities

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for technical surveillance countermeasures surveys

automated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys

References: None

SYSTEM AND SERVICES ACQUISITION

SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Label: INSERT into sa-1_smt_a (SA-1a.)

Parameter: sa-1_prm_1 organization-defined personnel or roles

Label: INSERT into sa-1_smt_b.1 (SA-1b.1.)

Parameter: sa-1_prm_2 organization-defined frequency

Label: INSERT into sa-1_smt_b.2 (SA-1b.2.)

Parameter: sa-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to sa-1_prm_1 INSERT into sa-1_smt_a (SA-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and

Reviews and updates the current:

1.	System and services acquisition policy sa-1_prm_2 INSERT into sa-1_smt_b.1 (SA-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	System and services acquisition procedures sa-1_prm_3 INSERT into sa-1_smt_b.2 (SA-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and services acquisition policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and services acquisition policy is to be disseminated;

[3]	disseminates the system and services acquisition policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and services acquisition policy;

[2]	reviews and updates the current system and services acquisition policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and services acquisition procedures; and

[2]	reviews and updates the current system and services acquisition procedures with the organization-defined frequency.

Assessment: EXAMINE

System and services acquisition policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

SA-2 ALLOCATION OF RESOURCES

Control

The organization:

a.	Determines information security requirements for the information system or information system service in mission/business process planning;

b.	Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and

c.	Establishes a discrete line item for information security in organizational programming and budgeting documentation.

Supplemental guidance

Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.

cf PM-3: INFORMATION SECURITY RESOURCES

cf PM-11: MISSION/BUSINESS PROCESS DEFINITION

Objectives

Determine if the organization:

(a)	determines information security requirements for the information system or information system service in mission/business process planning;

(b)

to protect the information system or information system service as part of its capital planning and investment control process:

[1]	determines the resources required;

[2]	documents the resources required;

[3]	allocates the resources required; and

(c)	establishes a discrete line item for information security in organizational programming and budgeting documentation.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the allocation of resources to information security requirements

procedures addressing capital planning and investment control

organizational programming and budgeting documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities

organizational personnel responsible for determining information security requirements for information systems/services

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining information security requirements

organizational processes for capital planning, programming, and budgeting

automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting

References

cf NIST Special Publication 800-65

SA-3 SYSTEM DEVELOPMENT LIFE CYCLE

Label: INSERT into sa-3_smt_a (SA-3a.)

Parameter: sa-3_prm_1 organization-defined system development life cycle

Control

The organization:

a.	Manages the information system using sa-3_prm_1 INSERT into sa-3_smt_a (SA-3a.) [NO PARAMETER VALUE GIVEN] that incorporates information security considerations;

b.	Defines and documents information security roles and responsibilities throughout the system development life cycle;

c.	Identifies individuals having information security roles and responsibilities; and

d.	Integrates the organizational information security risk management process into system development life cycle activities.

Supplemental guidance

A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf PM-7: ENTERPRISE ARCHITECTURE

cf SA-8: SECURITY ENGINEERING PRINCIPLES

Objectives

Determine if the organization:

(a)

[1]	defines a system development life cycle that incorporates information security considerations to be used to manage the information system;

[2]	manages the information system using the organization-defined system development life cycle;

(b)	defines and documents information security roles and responsibilities throughout the system development life cycle;

(c)	identifies individuals having information security roles and responsibilities; and

(d)	integrates the organizational information security risk management process into system development life cycle activities.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security into the system development life cycle process

information system development life cycle documentation

information security risk management strategy/program documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security and system life cycle development responsibilities

organizational personnel with information security risk management responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining and documenting the SDLC

organizational processes for identifying SDLC roles and responsibilities

organizational process for integrating information security risk management into the SDLC

automated mechanisms supporting and/or implementing the SDLC

References

cf NIST Special Publication 800-37

cf NIST Special Publication 800-64

SA-4 ACQUISITION PROCESS

Control

The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

a.	Security functional requirements;

b.	Security strength requirements;

c.	Security assurance requirements;

d.	Security-related documentation requirements;

e.	Requirements for protecting security-related documentation;

f.	Description of the information system development environment and environment in which the system is intended to operate; and

g.	Acceptance criteria.

Supplemental guidance

Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.

cf CM-6: CONFIGURATION SETTINGS

cf PL-2: SYSTEM SECURITY PLAN

cf PS-7: THIRD-PARTY PERSONNEL SECURITY

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:

(a)	security functional requirements;

(b)	security strength requirements;

(c)	security assurance requirements;

(d)	security-related documentation requirements;

(e)	requirements for protecting security-related documentation;

(f)

description of:

[1]	the information system development environment;

[2]	the environment in which the system is intended to operate; and

(g)	acceptance criteria.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

acquisition contracts for the information system, system component, or information system service

information system design documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining information system security functional, strength, and assurance requirements

organizational processes for developing acquisition contracts

automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts

Control enhancements

SA-4 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

Control

The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.

Supplemental guidance

Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system component, or information system services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security functional requirements

information system developer or service provider

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining information system security functional, requirements

organizational processes for developing acquisition contracts

automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts

SA-4 (2) DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

security-relevant external system interfaces

high-level design

low-level design

source code or hardware schematics

sa-4_prm_2 INSERT into sa-4..2. [NO PARAMETER VALUE GIVEN]

Label: INSERT into sa-4..2.

Parameter: sa-4_prm_2 organization-defined design/implementation information

Label: INSERT into sa-4..2.

Parameter: sa-4_prm_3 organization-defined level of detail

Control

The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: sa-4_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } security-relevant external system interfaces high-level design low-level design source code or hardware schematics [NO PARAMETER VALUE GIVEN] at sa-4_prm_3 INSERT into sa-4..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization:

[1]	defines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;

[2]	defines design/implementation information that the developer is to provide for the security controls to be employed (if selected);

[3]

requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:

[a]	security-relevant external system interfaces;

[b]	high-level design;

[c]	low-level design;

[d]	source code;

[e]	hardware schematics; and/or

[f]	organization-defined design/implementation information.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system components, or information system services

design and implementation information for security controls employed in the information system, system component, or information system service

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

information system developer or service provider

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for determining level of detail for system design and security controls

organizational processes for developing acquisition contracts

automated mechanisms supporting and/or implementing development of system design details

SA-4 (3) DEVELOPMENT METHODS / TECHNIQUES / PRACTICES

Label: INSERT into sa-4..3.

Parameter: sa-4_prm_4 organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes

Control

The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes sa-4_prm_4 INSERT into sa-4..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

[2]	defines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

[3]	defines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

[4]	defines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;

[5]

requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:

[a]	organization-defined state-of-the-practice system/security engineering methods;

[b]	organization-defined software development methods;

[c]	organization-defined testing/evaluation/validation techniques; and

[d]	organization-defined quality control processes.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system component, or information system service

list of system/security engineering methods to be included in developer’s system development life cycle process

list of software development methods to be included in developer’s system development life cycle process

list of testing/evaluation/validation techniques to be included in developer’s system development life cycle process

list of quality control processes to be included in developer’s system development life cycle process

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel with information security and system life cycle responsibilities

information system developer or service provider

Assessment: TEST

Organizational processes for development methods, techniques, and processes

SA-4 (4) ASSIGNMENT OF COMPONENTS TO SYSTEMS

cf CM-8 (9): ASSIGNMENT OF COMPONENTS TO SYSTEMS

Control

Withdrawn: Incorporated into CM-8 (9).

SA-4 (5) SYSTEM / COMPONENT / SERVICE CONFIGURATIONS

Label: INSERT into sa-4..5._smt_a (SA-4 (5)(a))

Parameter: sa-4_prm_5 organization-defined security configurations

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Deliver the system, component, or service with sa-4_prm_5 INSERT into sa-4..5._smt_a (SA-4 (5)(a)) [NO PARAMETER VALUE GIVEN] implemented; and

(b)	Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

Supplemental guidance

Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

Objectives

Determine if the organization:

(a)

[1]	defines security configurations to be implemented by the developer of the information system, system component, or information system service;

[2]	requires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and

(b)	requires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system component, or information system service

security configurations to be implemented by developer of the information system, system component, or information system service

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

information system developer or service provider

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified

SA-4 (6) USE OF INFORMATION ASSURANCE PRODUCTS

Control

The organization:

(a)

Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

(b)	Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.

Supplemental guidance

COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization:

(a)

employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and

(b)	ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system component, or information system service

security configurations to be implemented by developer of the information system, system component, or information system service

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information

SA-4 (7) NIAP-APPROVED PROTECTION PROFILES

Control

The organization:

(a)

Limits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

(b)	Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.

Supplemental guidance

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the organization:

(a)

limits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and

(b)	requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documents

acquisition documentation

acquisition contracts for the information system, system component, or information system service

NAIP-approved protection profiles

FIPS-validation information for cryptographic functionality

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products

SA-4 (8) CONTINUOUS MONITORING PLAN

Label: INSERT into sa-4..8.

Parameter: sa-4_prm_6 organization-defined level of detail

Control

The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains sa-4_prm_6 INSERT into sa-4..8. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.

cf CA-7: CONTINUOUS MONITORING

Objectives

Determine if the organization:

[1]	defines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and

[2]	requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing developer continuous monitoring plans

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

developer continuous monitoring plans

security assessment plans

acquisition contracts for the information system, system component, or information system service

acquisition documentation

solicitation documentation

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

information system developers

organizational personnel with information security responsibilities

Assessment: TEST

Vendor processes for continuous monitoring

automated mechanisms supporting and/or implementing developer continuous monitoring

SA-4 (9) FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE

Control

The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.

Supplemental guidance

The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.

cf CM-7: LEAST FUNCTIONALITY

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:

[1]	the functions intended for organizational use;

[2]	the ports intended for organizational use;

[3]	the protocols intended for organizational use; and

[4]	the services intended for organizational use.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

information system design documentation

information system documentation including functions, ports, protocols, and services intended for organizational use

acquisition contracts for information systems or services

acquisition documentation

solicitation documentation

service-level agreements

organizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

system/network administrators

organizational personnel operating, using, and/or maintaining the information system

information system developers

organizational personnel with information security responsibilities

SA-4 (10) USE OF APPROVED PIV PRODUCTS

Control

The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.

Supplemental guidance

cf IA-2: IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

cf IA-8: IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Objective

Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process

solicitation documentation

acquisition documentation

acquisition contracts for the information system, system component, or information system service

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for selecting and employing FIPS 201-approved products

References

cf HSPD-12

cf ISO/IEC 15408

cf FIPS Publication 140-2

cf FIPS Publication 201

cf NIST Special Publication 800-23

cf NIST Special Publication 800-35

cf NIST Special Publication 800-36

cf NIST Special Publication 800-37

cf NIST Special Publication 800-64

cf NIST Special Publication 800-70

cf NIST Special Publication 800-137

cf Federal Acquisition Regulation

cf http://www.niap-ccevs.org

cf http://fips201ep.cio.gov

cf http://www.acquisition.gov/far

SA-5 INFORMATION SYSTEM DOCUMENTATION

Label: INSERT into sa-5_smt_c (SA-5c.)

Parameter: sa-5_prm_1 organization-defined actions

Label: INSERT into sa-5_smt_e (SA-5e.)

Parameter: sa-5_prm_2 organization-defined personnel or roles

Control

The organization:

Obtains administrator documentation for the information system, system component, or information system service that describes:

1.	Secure configuration, installation, and operation of the system, component, or service;

2.	Effective use and maintenance of security functions/mechanisms; and

3.	Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

Obtains user documentation for the information system, system component, or information system service that describes:

1.	User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;

2.	Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and

3.	User responsibilities in maintaining the security of the system, component, or service;

c.	Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes sa-5_prm_1 INSERT into sa-5_smt_c (SA-5c.) [NO PARAMETER VALUE GIVEN] in response;

d.	Protects documentation as required, in accordance with the risk management strategy; and

e.	Distributes documentation to sa-5_prm_2 INSERT into sa-5_smt_e (SA-5e.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.

cf CM-6: CONFIGURATION SETTINGS

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf PL-2: SYSTEM SECURITY PLAN

cf PL-4: RULES OF BEHAVIOR

cf PS-2: POSITION RISK DESIGNATION

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the organization:

(a)

obtains administrator documentation for the information system, system component, or information system service that describes:

(1)

[1]	secure configuration of the system, system component, or service;

[2]	secure installation of the system, system component, or service;

[3]	secure operation of the system, system component, or service;

(2)

[1]	effective use of the security features/mechanisms;

[2]	effective maintenance of the security features/mechanisms;

(3)	known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;

(b)

obtains user documentation for the information system, system component, or information system service that describes:

(1)

[1]	user-accessible security functions/mechanisms;

[2]	how to effectively use those functions/mechanisms;

(2)	methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;

(3)	user responsibilities in maintaining the security of the system, component, or service;

(c)

[1]	defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

[2]	documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;

[3]	takes organization-defined actions in response;

(d)	protects documentation as required, in accordance with the risk management strategy;

(e)

[1]	defines personnel or roles to whom documentation is to be distributed; and

[2]	distributes documentation to organization-defined personnel or roles.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing information system documentation

information system documentation including administrator and user guides

records documenting attempts to obtain unavailable or nonexistent information system documentation

list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation

risk management strategy documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

system administrators

organizational personnel operating, using, and/or maintaining the information system

information system developers

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation

Control enhancements

SA-5 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

cf SA-4 (1): FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

Control

Withdrawn: Incorporated into SA-4 (1).

SA-5 (2) SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES

cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

Control

Withdrawn: Incorporated into SA-4 (2).

SA-5 (3) HIGH-LEVEL DESIGN

cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

Control

Withdrawn: Incorporated into SA-4 (2).

SA-5 (4) LOW-LEVEL DESIGN

cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

Control

Withdrawn: Incorporated into SA-4 (2).

SA-5 (5) SOURCE CODE

cf SA-4 (2): DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

Control

Withdrawn: Incorporated into SA-4 (2).

References: None

SA-6 SOFTWARE USAGE RESTRICTIONS

cf CM-10: SOFTWARE USAGE RESTRICTIONS

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Control

Withdrawn: Incorporated into CM-10 and SI-7.

References: None

SA-7 USER-INSTALLED SOFTWARE

cf CM-11: USER-INSTALLED SOFTWARE

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Control

Withdrawn: Incorporated into CM-11 and SI-7.

References: None

SA-8 SECURITY ENGINEERING PRINCIPLES

Control

The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.

Supplemental guidance

Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.

cf PM-7: ENTERPRISE ARCHITECTURE

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-4: ACQUISITION PROCESS

cf SA-17: DEVELOPER SECURITY ARCHITECTURE AND DESIGN

cf SC-2: APPLICATION PARTITIONING

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if the organization applies information system security engineering principles in:

[1]	the specification of the information system;

[2]	the design of the information system;

[3]	the development of the information system;

[4]	the implementation of the information system; and

[5]	the modification of the information system.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system

information system design documentation

information security requirements and specifications for the information system

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with acquisition/contracting responsibilities

organizational personnel with responsibility for determining information system security requirements

organizational personnel with information system specification, design, development, implementation, and modification responsibilities

information system developers

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification

automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification

References

cf NIST Special Publication 800-27

SA-9 EXTERNAL INFORMATION SYSTEM SERVICES

Label: INSERT into sa-9_smt_a (SA-9a.)

Parameter: sa-9_prm_1 organization-defined security controls

Label: INSERT into sa-9_smt_c (SA-9c.)

Parameter: sa-9_prm_2 organization-defined processes, methods, and techniques

Control

The organization:

Requires that providers of external information system services comply with organizational information security requirements and employ sa-9_prm_1 INSERT into sa-9_smt_a (SA-9a.) [NO PARAMETER VALUE GIVEN] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

b.	Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and

c.	Employs sa-9_prm_2 INSERT into sa-9_smt_c (SA-9c.) [NO PARAMETER VALUE GIVEN] to monitor security control compliance by external service providers on an ongoing basis.

Supplemental guidance

External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

cf CA-3: SYSTEM INTERCONNECTIONS

cf IR-7: INCIDENT RESPONSE ASSISTANCE

cf PS-7: THIRD-PARTY PERSONNEL SECURITY

Objectives

Determine if the organization:

(a)

[1]	defines security controls to be employed by providers of external information system services;

[2]	requires that providers of external information system services comply with organizational information security requirements;

[3]	requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;

(b)

[1]	defines and documents government oversight with regard to external information system services;

[2]	defines and documents user roles and responsibilities with regard to external information system services;

(c)

[1]	defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and

[2]	employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services

acquisition contracts, service-level agreements

organizational security requirements and security specifications for external provider services

security control assessment evidence from external providers of information system services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

external providers of information system services

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for monitoring security control compliance by external service providers on an ongoing basis

automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis

Control enhancements

SA-9 (1) RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS

Label: INSERT into sa-9..1._smt_b (SA-9 (1)(b))

Parameter: sa-9_prm_3 organization-defined personnel or roles

Control

The organization:

(a)	Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and

(b)	Ensures that the acquisition or outsourcing of dedicated information security services is approved by sa-9_prm_3 INSERT into sa-9..1._smt_b (SA-9 (1)(b)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.

cf CA-6: SECURITY AUTHORIZATION

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

(a)	conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;

(b)

[1]	defines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and

[2]	ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

acquisition documentation

acquisition contracts for the information system, system component, or information system service

risk assessment reports

approval records for acquisition or outsourcing of dedicated information security services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information system security responsibilities

external providers of information system services

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services

organizational processes for approving the outsourcing of dedicated information security services

automated mechanisms supporting and/or implementing risk assessment

automated mechanisms supporting and/or implementing approval processes

SA-9 (2) IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES

Label: INSERT into sa-9..2.

Parameter: sa-9_prm_4 organization-defined external information system services

Control

The organization requires providers of sa-9_prm_4 INSERT into sa-9..2. [NO PARAMETER VALUE GIVEN] to identify the functions, ports, protocols, and other services required for the use of such services.

Supplemental guidance

Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.

cf CM-7: LEAST FUNCTIONALITY

Objectives

Determine if the organization:

[1]	defines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;

[2]

requires providers of organization-defined external information system services to identify:

[a]	the functions required for the use of such services;

[b]	the ports required for the use of such services;

[c]	the protocols required for the use of such services; and

[d]	the other services required for the use of such services.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

acquisition contracts for the information system, system component, or information system service

acquisition documentation

solicitation documentation, service-level agreements

organizational security requirements and security specifications for external service providers

list of required functions, ports, protocols, and other services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system/network administrators

external providers of information system services

SA-9 (3) ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS

Label: INSERT into sa-9..3.

Parameter: sa-9_prm_5 organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships

Control

The organization establishes, documents, and maintains trust relationships with external service providers based on sa-9_prm_5 INSERT into sa-9..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.

Objectives

Determine if the organization:

[1]	defines requirements, properties, factors, or conditions defining acceptable trust relationships;

[2]

based on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:

[a]	establishes trust relationships with external service providers;

[b]	documents trust relationships with external service providers; and

[c]	maintains trust relationships with external service providers.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

acquisition contracts for the information system, system component, or information system service

acquisition documentation

solicitation documentation

service-level agreements

organizational security requirements, properties, factors, or conditions defining acceptable trust relationships

documentation of trust relationships with external service providers

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

external providers of information system services

SA-9 (4) CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS

Label: INSERT into sa-9..4.

Parameter: sa-9_prm_6 organization-defined security safeguards

Label: INSERT into sa-9..4.

Parameter: sa-9_prm_7 organization-defined external service providers

Control

The organization employs sa-9_prm_6 INSERT into sa-9..4. [NO PARAMETER VALUE GIVEN] to ensure that the interests of sa-9_prm_7 INSERT into sa-9..4. [NO PARAMETER VALUE GIVEN] are consistent with and reflect organizational interests.

Supplemental guidance

As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.

Objectives

Determine if the organization:

[1]	defines external service providers whose interests are to be consistent with and reflect organizational interests;

[2]	defines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and

[3]	employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

acquisition contracts for the information system, system component, or information system service

solicitation documentation

acquisition documentation

service-level agreements

organizational security requirements/safeguards for external service providers

personnel security policies for external service providers

assessments performed on external service providers

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

external providers of information system services

Assessment: TEST

Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers

automated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers

SA-9 (5) PROCESSING, STORAGE, AND SERVICE LOCATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

information processing

information/data

information system services

Label: INSERT into sa-9..5.

Parameter: sa-9_prm_9 organization-defined locations

Label: INSERT into sa-9..5.

Parameter: sa-9_prm_10 organization-defined requirements or conditions

Control

The organization restricts the location of sa-9_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } information processing information/data information system services [NO PARAMETER VALUE GIVEN] to sa-9_prm_9 INSERT into sa-9..5. [NO PARAMETER VALUE GIVEN] based on sa-9_prm_10 INSERT into sa-9..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.

Objectives

Determine if the organization:

[1]	defines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;

[2]	defines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;

[3]

restricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:

[a]	information processing;

[b]	information/data; and/or

[c]	information services.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing external information system services

acquisition contracts for the information system, system component, or information system service

solicitation documentation

acquisition documentation

service-level agreements

restricted locations for information processing

information/data and/or information system services

information processing, information/data, and/or information system services to be maintained in restricted locations

organizational security requirements or conditions for external providers

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

external providers of information system services

Assessment: TEST

Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services

organizational processes for ensuring the location is restricted in accordance with requirements or conditions

References

cf NIST Special Publication 800-35

SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sa-10_prm_1 Insertion into SA-10a.

design

development

implementation

operation

Label: INSERT into sa-10_smt_b (SA-10b.)

Parameter: sa-10_prm_2 organization-defined configuration items under configuration management

Label: INSERT into sa-10_smt_e (SA-10e.)

Parameter: sa-10_prm_3 organization-defined personnel

Control

The organization requires the developer of the information system, system component, or information system service to:

a.	Perform configuration management during system, component, or service sa-10_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } design development implementation operation [NO PARAMETER VALUE GIVEN] ;

b.	Document, manage, and control the integrity of changes to sa-10_prm_2 INSERT into sa-10_smt_b (SA-10b.) [NO PARAMETER VALUE GIVEN] ;

c.	Implement only organization-approved changes to the system, component, or service;

d.	Document approved changes to the system, component, or service and the potential security impacts of such changes; and

e.	Track security flaws and flaw resolution within the system, component, or service and report findings to sa-10_prm_3 INSERT into sa-10_smt_e (SA-10e.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-4: SECURITY IMPACT ANALYSIS

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

(a)

requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:

[1]	system, component, or service design;

[2]	system, component, or service development;

[3]	system, component, or service implementation; and/or

[4]	system, component, or service operation;

(b)

[1]	defines configuration items to be placed under configuration management;

[2]

requires the developer of the information system, system component, or information system service to:

[a]	document the integrity of changes to organization-defined items under configuration management;

[b]	manage the integrity of changes to organization-defined items under configuration management;

[c]	control the integrity of changes to organization-defined items under configuration management;

(c)	requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;

(d)

requires the developer of the information system, system component, or information system service to document:

[1]	approved changes to the system, component, or service;

[2]	the potential security impacts of such changes;

(e)

[1]	defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;

[2]

requires the developer of the information system, system component, or information system service to:

[a]	track security flaws within the system, component, or service;

[b]	track security flaw resolution within the system, component, or service; and

[c]	report findings to organization-defined personnel.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer configuration management plan

security flaw and flaw resolution tracking records

system change authorization records

change control records

configuration management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

Control enhancements

SA-10 (1) SOFTWARE / FIRMWARE INTEGRITY VERIFICATION

Control

The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.

Supplemental guidance

This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system

system component, or information system service

system developer configuration management plan

software and firmware integrity verification records

system change authorization records

change control records

configuration management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

SA-10 (2) ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES

Control

The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

Supplemental guidance

Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).

Objective

Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

procedures addressing configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system

system component, or information system service

system developer configuration management plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

SA-10 (3) HARDWARE INTEGRITY VERIFICATION

Control

The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.

Supplemental guidance

This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer configuration management plan

hardware integrity verification records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

SA-10 (4) TRUSTED GENERATION

Control

The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.

Supplemental guidance

This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:

[1]	security-relevant hardware descriptions with previous versions; and

[2]	software/firmware source and object code with previous versions.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer configuration management plan

change control records

configuration management records

configuration control audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

SA-10 (5) MAPPING INTEGRITY FOR VERSION CONTROL

Control

The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

Supplemental guidance

This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer configuration management plan

change control records

configuration management records

version control change/update records

integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

SA-10 (6) TRUSTED DISTRIBUTION

Control

The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

Supplemental guidance

The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer configuration management

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system

system component, or information system service

system developer configuration management plan

change control records

configuration management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer configuration management

automated mechanisms supporting and/or implementing the monitoring of developer configuration management

References

cf NIST Special Publication 800-128

SA-11 DEVELOPER SECURITY TESTING AND EVALUATION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sa-11_prm_1 Insertion into SA-11b.

unit

integration

system

regression

Label: INSERT into sa-11_smt_b (SA-11b.)

Parameter: sa-11_prm_2 organization-defined depth and coverage

Control

The organization requires the developer of the information system, system component, or information system service to:

a.	Create and implement a security assessment plan;

b.	Perform sa-11_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } unit integration system regression [NO PARAMETER VALUE GIVEN] testing/evaluation at sa-11_prm_2 INSERT into sa-11_smt_b (SA-11b.) [NO PARAMETER VALUE GIVEN] ;

c.	Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;

d.	Implement a verifiable flaw remediation process; and

e.	Correct flaws identified during security testing/evaluation.

Supplemental guidance

Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

cf CA-2: SECURITY ASSESSMENTS

cf CM-4: SECURITY IMPACT ANALYSIS

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-4: ACQUISITION PROCESS

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

(a)	requires the developer of the information system, system component, or information system service to create and implement a security plan;

(b)

[1]	defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

[2]	defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;

[3]

requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:

[a]	unit testing/evaluation;

[b]	integration testing/evaluation;

[c]	system testing/evaluation; and/or

[d]	regression testing/evaluation;

(c)

requires the developer of the information system, system component, or information system service to produce evidence of:

[1]	the execution of the security assessment plan;

[2]	the results of the security testing/evaluation;

(d)	requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and

(e)	requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

procedures addressing flaw remediation

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security test plans

records of developer security testing results for the information system, system component, or information system service

security flaw and remediation tracking records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

Control enhancements

SA-11 (1) STATIC CODE ANALYSIS

Control

The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

Supplemental guidance

Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

procedures addressing flaw remediation

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security test plans

system developer security testing results

security flaw and remediation tracking records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

static code analysis tools

SA-11 (2) THREAT AND VULNERABILITY ANALYSES

Control

The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.

Supplemental guidance

Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.

cf PM-15: CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to perform:

[1]	threat analyses of the as-built, system component, or service;

[2]	vulnerability analyses of the as-built, system component, or service; and

[3]	subsequent testing/evaluation of the as-built, system component, or service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security test plans

records of developer security testing results for the information system, system component, or information system service

vulnerability scanning results

information system risk assessment reports

threat and vulnerability analysis reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (3) INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE

Label: INSERT into sa-11..3._smt_a (SA-11 (3)(a))

Parameter: sa-11_prm_3 organization-defined independence criteria

Control

The organization:

(a)	Requires an independent agent satisfying sa-11_prm_3 INSERT into sa-11..3._smt_a (SA-11 (3)(a)) [NO PARAMETER VALUE GIVEN] to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and

(b)	Ensures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.

Supplemental guidance

Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CA-7: CONTINUOUS MONITORING

cf RA-5: VULNERABILITY SCANNING

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

(a)

[1]	defines independence criteria that an independent agent is required to satisfy;

[2]

requires an independent agent satisfying organization-defined independence criteria to verify:

[a]	the correct implementation of the developer security assessment plan;

[b]	the evidence produced during security testing/evaluation;

(b)

ensures that the independent agent is either:

[1]	provided with sufficient information to complete the verification process; or

[2]	granted the authority to obtain such information.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

independent verification and validation reports

security test and evaluation plans

security test and evaluation results for the information system, system component, or information system service

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

independent verification agent

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (4) MANUAL CODE REVIEWS

Label: INSERT into sa-11..4.

Parameter: sa-11_prm_4 organization-defined specific code

Label: INSERT into sa-11..4.

Parameter: sa-11_prm_5 organization-defined processes, procedures, and/or techniques

Control

The organization requires the developer of the information system, system component, or information system service to perform a manual code review of sa-11_prm_4 INSERT into sa-11..4. [NO PARAMETER VALUE GIVEN] using sa-11_prm_5 INSERT into sa-11..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application’s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.

Objectives

Determine if the organization:

[1]	defines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;

[2]	defines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and

[3]	requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

processes, procedures, and/or techniques for performing manual code reviews

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security testing and evaluation plans

system developer security testing and evaluation results

list of code requiring manual reviews

records of manual code reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

independent verification agent

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (5) PENETRATION TESTING

Label: INSERT into sa-11..5.

Parameter: sa-11_prm_6 organization-defined breadth/depth

Label: INSERT into sa-11..5.

Parameter: sa-11_prm_7 organization-defined constraints

Control

The organization requires the developer of the information system, system component, or information system service to perform penetration testing at sa-11_prm_6 INSERT into sa-11..5. [NO PARAMETER VALUE GIVEN] and with sa-11_prm_7 INSERT into sa-11..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.

Objectives

Determine if the organization:

[1]

defines for the developer of the information system, system component, or information system service:

[a]	the breadth of penetration testing to be performed by the developer;

[b]	the depth of penetration testing to be performed by the developer;

[2]	defines constraints under which the developer is to perform penetration testing; and

[3]	requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer penetration testing and evaluation plans

system developer penetration testing and evaluation results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

independent verification agent

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (6) ATTACK SURFACE REVIEWS

Control

The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.

Supplemental guidance

Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security testing and evaluation plans

system developer security testing and evaluation results

records of attack surface reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (7) VERIFY SCOPE OF TESTING / EVALUATION

Label: INSERT into sa-11..7.

Parameter: sa-11_prm_8 organization-defined depth of testing/evaluation

Control

The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at sa-11_prm_8 INSERT into sa-11..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.

Objectives

Determine if the organization:

[1]	defines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and

[2]	requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security testing and evaluation plans

system developer security testing and evaluation results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

system developers

independent verification agent

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

SA-11 (8) DYNAMIC CODE ANALYSIS

Control

The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

Supplemental guidance

Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing system developer security testing

procedures addressing flaw remediation

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer security test and evaluation plans

security test and evaluation results

security flaw and remediation tracking reports

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with developer security testing responsibilities

organizational personnel with configuration management responsibilities

system developers

Assessment: TEST

Organizational processes for monitoring developer security testing and evaluation

automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation

References

cf ISO/IEC 15408

cf NIST Special Publication 800-53A

cf http://nvd.nist.gov

cf http://cwe.mitre.org

cf http://cve.mitre.org

cf http://capec.mitre.org

SA-12 SUPPLY CHAIN PROTECTION

Label: INSERT into sa-12

Parameter: sa-12_prm_1 organization-defined security safeguards

Control

The organization protects against supply chain threats to the information system, system component, or information system service by employing sa-12_prm_1 INSERT into sa-12 [NO PARAMETER VALUE GIVEN] as part of a comprehensive, defense-in-breadth information security strategy.

Supplemental guidance

Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf IR-4: INCIDENT HANDLING

cf PE-16: DELIVERY AND REMOVAL

cf PL-8: INFORMATION SECURITY ARCHITECTURE

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-4: ACQUISITION PROCESS

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf SA-14: CRITICALITY ANALYSIS

cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

cf SA-18: TAMPER RESISTANCE AND DETECTION

cf SA-19: COMPONENT AUTHENTICITY

cf SC-29: HETEROGENEITY

cf SC-30: CONCEALMENT AND MISDIRECTION

cf SC-38: OPERATIONS SECURITY

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and

[2]	protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

list of supply chain threats

list of security safeguards to be taken against supply chain threats

system development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining safeguards for and protecting against supply chain threats

automated mechanisms supporting and/or implementing safeguards for supply chain threats

Control enhancements

SA-12 (1) ACQUISITION STRATEGIES / TOOLS / METHODS

Label: INSERT into sa-12..1.

Parameter: sa-12_prm_2 organization-defined tailored acquisition strategies, contract tools, and procurement methods

Control

The organization employs sa-12_prm_2 INSERT into sa-12..1. [NO PARAMETER VALUE GIVEN] for the purchase of the information system, system component, or information system service from suppliers.

Supplemental guidance

The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).

cf SA-19: COMPONENT AUTHENTICITY

Objectives

Determine if the organization:

[1]

defines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:

[a]	tailored acquisition strategies;

[b]	contract tools;

[c]	procurement methods; and

[2]	employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

procedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for information systems or services

purchase orders/requisitions for the information system

system component

or information system service from suppliers

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods

automated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods

SA-12 (2) SUPPLIER REVIEWS

Control

The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.

Supplemental guidance

Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.

Objective

Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

records of supplier due diligence reviews

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for conducting supplier reviews

automated mechanisms supporting and/or implementing supplier reviews

SA-12 (3) TRUSTED SHIPPING AND WAREHOUSING

cf SA-12 (1): ACQUISITION STRATEGIES / TOOLS / METHODS

Control

Withdrawn: Incorporated into SA-12 (1).

SA-12 (4) DIVERSITY OF SUPPLIERS

cf SA-12 (13): CRITICAL INFORMATION SYSTEM COMPONENTS

Control

Withdrawn: Incorporated into SA-12 (13).

SA-12 (5) LIMITATION OF HARM

Label: INSERT into sa-12..5.

Parameter: sa-12_prm_3 organization-defined security safeguards

Control

The organization employs sa-12_prm_3 INSERT into sa-12..5. [NO PARAMETER VALUE GIVEN] to limit harm from potential adversaries identifying and targeting the organizational supply chain.

Supplemental guidance

Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and

[2]	employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.

Assessment: EXAMINE

System and services acquisition policy

configuration management policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

procedures addressing the baseline configuration of the information system

configuration management plan

information system design documentation

information system architecture and associated configuration documentation

solicitation documentation

acquisition documentation

acquisition contracts for the information system, system component, or information system service

list of security safeguards to be taken to protect organizational supply chain against potential supply chain threats

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain

automated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain

SA-12 (6) MINIMIZING PROCUREMENT TIME

cf SA-12 (1): ACQUISITION STRATEGIES / TOOLS / METHODS

Control

Withdrawn: Incorporated into SA-12 (1).

SA-12 (7) ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE

Control

The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.

Supplemental guidance

Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.

cf CA-2: SECURITY ASSESSMENTS

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

Objectives

Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:

[1]	selection;

[2]	acceptance; or

[3]

update.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

security test and evaluation results

vulnerability assessment results

penetration testing results

organizational risk assessment results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for conducting assessments prior to selection, acceptance, or update

automated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update

SA-12 (8) USE OF ALL-SOURCE INTELLIGENCE

Control

The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.

Supplemental guidance

All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.

cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Objectives

Determine if the organization uses all-source intelligence analysis of:

[1]	suppliers of the information system, system component, or information system service; and

[2]	potential suppliers of the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

solicitation documentation

acquisition documentation

acquisition contracts for the information system, system component, or information system service

records of all-source intelligence analyses

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for use of an all-source analysis of suppliers and potential suppliers

automated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers

SA-12 (9) OPERATIONS SECURITY

Label: INSERT into sa-12..9.

Parameter: sa-12_prm_4 organization-defined Operations Security (OPSEC) safeguards

Control

The organization employs sa-12_prm_4 INSERT into sa-12..9. [NO PARAMETER VALUE GIVEN] in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.

Supplemental guidance

Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.

Objectives

Determine if the organization:

[1]	defines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and

[2]	employs organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

solicitation documentation

acquisition documentation

acquisition contracts for the information system, system component, or information system service

records of all-source intelligence analyses

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining and employing OPSEC safeguards

automated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards

SA-12 (10) VALIDATE AS GENUINE AND NOT ALTERED

Label: INSERT into sa-12..10.

Parameter: sa-12_prm_5 organization-defined security safeguards

Control

The organization employs sa-12_prm_5 INSERT into sa-12..10. [NO PARAMETER VALUE GIVEN] to validate that the information system or system component received is genuine and has not been altered.

Supplemental guidance

For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and

[2]	employs organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures address the integration of information security requirements into the acquisition process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

evidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining and employing validation safeguards

automated mechanisms supporting and/or implementing the definition and employment of validation safeguards

SA-12 (11) PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing

Label: INSERT into sa-12..11.

Parameter: sa-12_prm_7 organization-defined supply chain elements, processes, and actors

Control

The organization employs sa-12_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing [NO PARAMETER VALUE GIVEN] of sa-12_prm_7 INSERT into sa-12..11. [NO PARAMETER VALUE GIVEN] associated with the information system, system component, or information system service.

Supplemental guidance

This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

[1]

defines supply chain:

[a]	elements to be analyzed and/or tested;

[b]	processes to be analyzed and/or tested;

[c]	actors to be analyzed and/or tested;

[2]

employs one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:

[a]	organizational analysis;

[b]	independent third party analysis;

[c]	organizational penetration testing; and/or

[d]	independent third-party penetration testing.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

evidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing

list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors

Assessment: TEST

Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors

automated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors

SA-12 (12) INTER-ORGANIZATIONAL AGREEMENTS

Control

The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.

Supplemental guidance

The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.

Objectives

Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:

[1]	inter-organizational agreements; and

[2]	inter-organizational procedures.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

inter-organizational agreements and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities

SA-12 (13) CRITICAL INFORMATION SYSTEM COMPONENTS

Label: INSERT into sa-12..13.

Parameter: sa-12_prm_8 organization-defined security safeguards

Label: INSERT into sa-12..13.

Parameter: sa-12_prm_9 organization-defined critical information system components

Control

The organization employs sa-12_prm_8 INSERT into sa-12..13. [NO PARAMETER VALUE GIVEN] to ensure an adequate supply of sa-12_prm_9 INSERT into sa-12..13. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.

Objectives

Determine if the organization:

[1]	defines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;

[2]	defines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and

[3]	employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

physical inventory of critical information system components

inventory records of critical information system components

list of security safeguards ensuring adequate supply of critical information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components

automated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components

SA-12 (14) IDENTITY AND TRACEABILITY

Label: INSERT into sa-12..14.

Parameter: sa-12_prm_10 organization-defined supply chain elements, processes, and actors

Control

The organization establishes and retains unique identification of sa-12_prm_10 INSERT into sa-12..14. [NO PARAMETER VALUE GIVEN] for the information system, system component, or information system service.

Supplemental guidance

Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.

Objectives

Determine if the organization:

[1]

defines the following for the establishment and retention of unique identification:

[a]	supply chain elements;

[b]	supply chain processes;

[c]	supply chain actors; and

[2]	establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing the integration of information security requirements into the acquisition process

list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

organizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors

Assessment: TEST

Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors

automated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors

SA-12 (15) PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES

Control

The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.

Supplemental guidance

Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.

Objective

Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing supply chain protection

procedures addressing weaknesses or deficiencies in supply chain elements

results of independent or organizational assessments of supply chain controls and processes

acquisition contracts, service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with supply chain protection responsibilities

Assessment: TEST

Organizational processes for addressing weaknesses or deficiencies in supply chain elements

automated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements

References

cf NIST Special Publication 800-161

cf NIST Interagency Report 7622

SA-13 TRUSTWORTHINESS

Label: INSERT into sa-13_smt_a (SA-13a.)

Parameter: sa-13_prm_1 organization-defined information system, information system component, or information system service

Label: INSERT into sa-13_smt_b (SA-13b.)

Parameter: sa-13_prm_2 organization-defined assurance overlay

Control

The organization:

a.	Describes the trustworthiness required in the sa-13_prm_1 INSERT into sa-13_smt_a (SA-13a.) [NO PARAMETER VALUE GIVEN] supporting its critical missions/business functions; and

b.	Implements sa-13_prm_2 INSERT into sa-13_smt_b (SA-13b.) [NO PARAMETER VALUE GIVEN] to achieve such trustworthiness.

Supplemental guidance

This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.

cf RA-2: SECURITY CATEGORIZATION

cf SA-4: ACQUISITION PROCESS

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-14: CRITICALITY ANALYSIS

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if the organization:

(a)

[1]	defines information system, system component, or information system service for which the trustworthiness required is to be described;

[2]	describes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;

(b)

[1]	defines an assurance overlay to be implemented to achieve such trustworthiness; and

[2]	organization implements the organization-defined assurance overlay to achieve such trustworthiness.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing trustworthiness requirements for the information system, system component, or information system service

security plan

information system design documentation

information system configuration settings and associated documentation

security categorization documentation/results

security authorization package for the information system, system component, or information system service

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

authorizing official

References

cf FIPS Publication 199

cf FIPS Publication 200

cf NIST Special Publication 800-53

cf NIST Special Publication 800-53A

cf NIST Special Publication 800-60

cf NIST Special Publication 800-64

SA-14 CRITICALITY ANALYSIS

Label: INSERT into sa-14

Parameter: sa-14_prm_1 organization-defined information systems, information system components, or information system services

Label: INSERT into sa-14

Parameter: sa-14_prm_2 organization-defined decision points in the system development life cycle

Control

The organization identifies critical information system components and functions by performing a criticality analysis for sa-14_prm_1 INSERT into sa-14 [NO PARAMETER VALUE GIVEN] at sa-14_prm_2 INSERT into sa-14 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.

cf CP-2: CONTINGENCY PLAN

cf PL-2: SYSTEM SECURITY PLAN

cf PL-8: INFORMATION SECURITY ARCHITECTURE

cf PM-1: INFORMATION SECURITY PROGRAM PLAN

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-12: SUPPLY CHAIN PROTECTION

cf SA-13: TRUSTWORTHINESS

cf SA-15: DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

cf SA-20: CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS

Objectives

Determine if the organization:

[1]	defines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;

[2]	defines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and

[3]	identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing criticality analysis requirements for information systems, security plan

contingency plan

list of information systems, information system components, or information system services requiring criticality analyses

list of critical information system components and functions identified by criticality analyses

criticality analysis documentation

business impact analysis documentation

system development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibilities for performing criticality analysis for the information system

Control enhancements

SA-14 (1) CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING

cf SA-20: CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS

Control

Withdrawn: Incorporated into SA-20.

References: None

SA-15 DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Label: INSERT into sa-15_smt_b (SA-15b.)

Parameter: sa-15_prm_1 organization-defined frequency

Label: INSERT into sa-15_smt_b (SA-15b.)

Parameter: sa-15_prm_2 organization-defined security requirements

Control

The organization:

Requires the developer of the information system, system component, or information system service to follow a documented development process that:

1.	Explicitly addresses security requirements;

2.	Identifies the standards and tools used in the development process;

3.	Documents the specific tool options and tool configurations used in the development process; and

4.	Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and

Reviews the development process, standards, tools, and tool options/configurations sa-15_prm_1 INSERT into sa-15_smt_b (SA-15b.) [NO PARAMETER VALUE GIVEN] to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy sa-15_prm_2 INSERT into sa-15_smt_b (SA-15b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-8: SECURITY ENGINEERING PRINCIPLES

Objectives

Determine if the organization:

(a)

requires the developer of the information system, system component, or information system service to follow a documented development process that:

(1)	explicitly addresses security requirements;

(2)	identifies the standards and tools used in the development process;

(3)

[1]	documents the specific tool options used in the development process;

[2]	documents the specific tool configurations used in the development process;

(4)

[1]	documents changes to the process and/or tools used in the development;

[2]	manages changes to the process and/or tools used in the development;

[3]	ensures the integrity of changes to the process and/or tools used in the development;

(b)

[1]	defines a frequency to review the development process, standards, tools, and tool options/configurations;

[2]	defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and

[3]

[a]	reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;

[b]	reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;

[c]	reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and

[d]	reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

procedures addressing the integration of security requirements during the development process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

system developer documentation listing tool options/configuration guides, configuration management records

change control records

configuration control records

documented reviews of development process, standards, tools, and tool options/configurations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

Control enhancements

SA-15 (1) QUALITY METRICS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sa-15_prm_3 Insertion into SA-15 (1)(b)

sa-15_prm_4 INSERT into sa-15..1._smt_b (SA-15 (1)(b)) [NO PARAMETER VALUE GIVEN]

sa-15_prm_5 INSERT into sa-15..1._smt_b (SA-15 (1)(b)) [NO PARAMETER VALUE GIVEN]

upon delivery

Label: INSERT into sa-15..1._smt_b (SA-15 (1)(b))

Parameter: sa-15_prm_4 organization-defined frequency

Label: INSERT into sa-15..1._smt_b (SA-15 (1)(b))

Parameter: sa-15_prm_5 organization-defined program review milestones

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Define quality metrics at the beginning of the development process; and

(b)	Provide evidence of meeting the quality metrics sa-15_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } upon delivery [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.

Objectives

Determine if the organization:

(a)	requires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;

(b)

[1]	defines a frequency to provide evidence of meeting the quality metrics;

[2]	defines program review milestones to provide evidence of meeting the quality metrics;

[3]

requires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:

[a]	with the organization-defined frequency;

[b]	in accordance with the organization-defined program review milestones; and/or

[c]	upon delivery of the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

procedures addressing the integration of security requirements into the acquisition process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

list of quality metrics

documentation evidence of meeting quality metrics

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

SA-15 (2) SECURITY TRACKING TOOLS

Control

The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.

Supplemental guidance

Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

procedures addressing the integration of security requirements into the acquisition process

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

list of quality metrics

documentation evidence of meeting quality metrics

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

SA-15 (3) CRITICALITY ANALYSIS

Label: INSERT into sa-15..3.

Parameter: sa-15_prm_6 organization-defined breadth/depth

Label: INSERT into sa-15..3.

Parameter: sa-15_prm_7 organization-defined decision points in the system development life cycle

Control

The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at sa-15_prm_6 INSERT into sa-15..3. [NO PARAMETER VALUE GIVEN] and at sa-15_prm_7 INSERT into sa-15..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).

cf SA-4: ACQUISITION PROCESS

cf SA-14: CRITICALITY ANALYSIS

Objectives

Determine if the organization:

[1]	defines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;

[2]	defines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;

[3]	defines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and

[4]	requires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

procedures addressing criticality analysis requirements for the information system, system component, or information system service

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

criticality analysis documentation

business impact analysis documentation

software development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel responsibility for performing criticality analysis

system developer

Assessment: TEST

Organizational processes for performing criticality analysis

automated mechanisms supporting and/or implementing criticality analysis

SA-15 (4) THREAT MODELING / VULNERABILITY ANALYSIS

Label: INSERT into sa-15..4.

Parameter: sa-15_prm_8 organization-defined breadth/depth

Label: INSERT into sa-15..4._smt_a (SA-15 (4)(a))

Parameter: sa-15_prm_9 organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels

Label: INSERT into sa-15..4._smt_b (SA-15 (4)(b))

Parameter: sa-15_prm_10 organization-defined tools and methods

Label: INSERT into sa-15..4._smt_c (SA-15 (4)(c))

Parameter: sa-15_prm_11 organization-defined acceptance criteria

Control

The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at sa-15_prm_8 INSERT into sa-15..4. [NO PARAMETER VALUE GIVEN] that:

(a)	Uses sa-15_prm_9 INSERT into sa-15..4._smt_a (SA-15 (4)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Employs sa-15_prm_10 INSERT into sa-15..4._smt_b (SA-15 (4)(b)) [NO PARAMETER VALUE GIVEN] ; and

(c)	Produces evidence that meets sa-15_prm_11 INSERT into sa-15..4._smt_c (SA-15 (4)(c)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf SA-4: ACQUISITION PROCESS

Objectives

Determine if the organization:

[1]	defines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;

[2]	defines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;

[3]	defines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;

[4]	defines tools and methods to be employed in threat modeling and vulnerability analysis;

[5]	defines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;

[6]

requires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:

(a)	uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;

(b)	employs organization-defined tools and methods; and

(c)	produces evidence that meets organization-defined acceptance criteria.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

threat modeling documentation

vulnerability analysis results

organizational risk assessments

acceptance criteria for evidence produced from threat modeling and vulnerability analysis

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Organizational processes for performing development threat modeling and vulnerability analysis

automated mechanisms supporting and/or implementing development threat modeling and vulnerability analysis

SA-15 (5) ATTACK SURFACE REDUCTION

Label: INSERT into sa-15..5.

Parameter: sa-15_prm_12 organization-defined thresholds

Control

The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to sa-15_prm_12 INSERT into sa-15..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.

cf CM-7: LEAST FUNCTIONALITY

Objectives

Determine if the organization:

[1]	defines thresholds to which attack surfaces are to be reduced; and

[2]	requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

procedures addressing attack surface reduction

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, or information system service

information system design documentation

network diagram

information system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces

list of restricted ports, protocols, functions and services

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel responsibility for attack surface reduction thresholds

system developer

Assessment: TEST

Organizational processes for defining attack surface reduction thresholds

SA-15 (6) CONTINUOUS IMPROVEMENT

Control

The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.

Supplemental guidance

Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

quality goals and metrics for improving system development process

security assessments and/or quality control reviews of system development process

plans of action and milestones for improving system development process

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

SA-15 (7) AUTOMATED VULNERABILITY ANALYSIS

Label: INSERT into sa-15..7._smt_a (SA-15 (7)(a))

Parameter: sa-15_prm_13 organization-defined tools

Label: INSERT into sa-15..7._smt_d (SA-15 (7)(d))

Parameter: sa-15_prm_14 organization-defined personnel or roles

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Perform an automated vulnerability analysis using sa-15_prm_13 INSERT into sa-15..7._smt_a (SA-15 (7)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Determine the exploitation potential for discovered vulnerabilities;

(c)	Determine potential risk mitigations for delivered vulnerabilities; and

(d)	Deliver the outputs of the tools and results of the analysis to sa-15_prm_14 INSERT into sa-15..7._smt_d (SA-15 (7)(d)) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

(a)

[1]	defines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;

[2]	requires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;

(b)	requires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;

(c)	requires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;

(d)

[1]	defines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and

[2]	requires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

vulnerability analysis tools and associated documentation

risk assessment reports

vulnerability analysis results

vulnerability mitigation reports

risk mitigation strategy documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel performing automated vulnerability analysis on the information system

Assessment: TEST

Organizational processes for vulnerability analysis of information systems, system components, or information system services under development

automated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development

SA-15 (8) REUSE OF THREAT / VULNERABILITY INFORMATION

Control

The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

Supplemental guidance

Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

threat modeling and vulnerability analyses from similar information systems, system components, or information system service

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

SA-15 (9) USE OF LIVE DATA

Control

The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.

Supplemental guidance

The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.

Objectives

Determine if the organization, for the information system, system component, or information system service:

[1]	approves the use of live data in development and test environments;

[2]	documents the use of live data in development and test environments; and

[3]	controls the use of live data in development and test environments.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

information system design documentation

information system configuration settings and associated documentation

documentation authorizing use of live data in development and test environments

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Organizational processes for approving, documenting, and controlling the use of live data in development and test environments

automated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments

SA-15 (10) INCIDENT RESPONSE PLAN

Control

The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.

Supplemental guidance

The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.

cf IR-8: INCIDENT RESPONSE PLAN

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, or services

acquisition documentation

solicitation documentation

service-level agreements

developer incident response plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

SA-15 (11) ARCHIVE INFORMATION SYSTEM / COMPONENT

Control

The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.

Supplemental guidance

Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.

Objective

Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing development process, standards, and tools

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, or services

acquisition documentation

solicitation documentation

service-level agreements

developer incident response plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

References: None

SA-16 DEVELOPER-PROVIDED TRAINING

Label: INSERT into sa-16

Parameter: sa-16_prm_1 organization-defined training

Control

The organization requires the developer of the information system, system component, or information system service to provide sa-16_prm_1 INSERT into sa-16 [NO PARAMETER VALUE GIVEN] on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

Supplemental guidance

This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization:

[1]	defines training to be provided by the developer of the information system, system component, or information system service; and

[2]	requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing developer-provided training

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

developer-provided training materials

training records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information system security responsibilities

system developer

organizational or third-party developers with training responsibilities for the information system, system component, or information system service

References: None

SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN

Control

The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

a.	Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;

b.	Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and

c.	Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

Supplemental guidance

This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization’s enterprise architecture and information security architecture.

cf PL-8: INFORMATION SECURITY ARCHITECTURE

cf PM-7: ENTERPRISE ARCHITECTURE

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

cf SA-8: SECURITY ENGINEERING PRINCIPLES

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:

(a)	is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;

(b)

accurately and completely describes:

[1]	the required security functionality;

[2]	the allocation of security controls among physical and logical components; and

(c)	expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

design specification and security architecture documentation for the system

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

Control enhancements

SA-17 (1) FORMAL POLICY MODEL

Label: INSERT into sa-17..1._smt_a (SA-17 (1)(a))

Parameter: sa-17_prm_1 organization-defined elements of organizational security policy

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Produce, as an integral part of the development process, a formal policy model describing the sa-17_prm_1 INSERT into sa-17..1._smt_a (SA-17 (1)(a)) [NO PARAMETER VALUE GIVEN] to be enforced; and

(b)	Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.

Supplemental guidance

Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.

Objectives

Determine if the organization:

(a)

[1]	defines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;

[2]	requires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and

(b)	requires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

design specification and security architecture documentation for the system

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

SA-17 (2) SECURITY-RELEVANT COMPONENTS

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Define security-relevant hardware, software, and firmware; and

(b)	Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

Supplemental guidance

Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to:

(a)

[1]	define security-relevant hardware;

[2]	define security-relevant software;

[3]	define security-relevant firmware; and

(b)	provide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

list of security-relevant hardware, software, and firmware components

documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developers

organizational personnel with security architecture and design responsibilities

SA-17 (3) FORMAL CORRESPONDENCE

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

(b)	Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

(c)	Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

(d)	Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

(e)	Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

Supplemental guidance

Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to:

(a)

produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:

[1]	exceptions;

[2]	error messages;

[3]

effects;

(b)	show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;

(c)	show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

(d)	show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

(e)	describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

formal policy model

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

formal top-level specification documentation

information system security architecture and design documentation

information system design documentation

information system configuration settings and associated documentation

documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

SA-17 (4) INFORMAL CORRESPONDENCE

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sa-17_prm_2 Insertion into SA-17 (4)(b)

informal demonstration, convincing argument with formal methods as feasible

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;

(b)	Show via sa-17_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } informal demonstration, convincing argument with formal methods as feasible [NO PARAMETER VALUE GIVEN] that the descriptive top-level specification is consistent with the formal policy model;

(c)	Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

(d)	Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and

(e)	Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

Supplemental guidance

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to:

(a)

produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:

[1]	exceptions;

[2]	error messages;

[3]

effects;

(b)	show via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;

(c)	show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;

(d)	show that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and

(e)	describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

formal policy model

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

informal descriptive top-level specification documentation

information system security architecture and design documentation

information system design documentation

information system configuration settings and associated documentation

documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

SA-17 (5) CONCEPTUALLY SIMPLE DESIGN

Control

The organization requires the developer of the information system, system component, or information system service to:

(a)	Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

(b)	Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

Supplemental guidance

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if the organization requires the developer of the information system, system component, or information system service to:

(a)	design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and

(b)	internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

information system design documentation

information system security architecture documentation

information system configuration settings and associated documentation

developer documentation describing design and structure of security-relevant hardware, software, and firmware components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

SA-17 (6) STRUCTURE FOR TESTING

Control

The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.

Supplemental guidance

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

Objective

Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

information system design documentation

information system security architecture documentation

information system configuration settings and associated documentation

developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

SA-17 (7) STRUCTURE FOR LEAST PRIVILEGE

Control

Supplemental guidance

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

Objective

Assessment: EXAMINE

System and services acquisition policy

enterprise architecture policy

procedures addressing developer security architecture and design specification for the information system

solicitation documentation

acquisition documentation

service-level agreements

acquisition contracts for the information system, system component, or information system service

information system design documentation

information system security architecture documentation

information system configuration settings and associated documentation

developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

system developer

organizational personnel with security architecture and design responsibilities

References: None

SA-18 TAMPER RESISTANCE AND DETECTION

Control

The organization implements a tamper protection program for the information system, system component, or information system service.

Supplemental guidance

Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.

cf PE-3: PHYSICAL ACCESS CONTROL

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization implements a tamper protection program for the information system, system component, or information system service.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing tamper resistance and detection

tamper protection program documentation

tamper protection tools and techniques documentation

tamper resistance and detection tools and techniques documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for the tamper protection program

Assessment: TEST

Organizational processes for implementation of the tamper protection program

automated mechanisms supporting and/or implementing the tamper protection program

Control enhancements

SA-18 (1) MULTIPLE PHASES OF SDLC

Control

The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.

Supplemental guidance

Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

Objectives

Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:

[1]

design;

[2]	development;

[3]	integration;

[4]	operations; and

[5]	maintenance.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing tamper resistance and detection

tamper protection program documentation

tamper protection tools and techniques documentation

tamper resistance and detection tools (technologies) and techniques documentation

system development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for the tamper protection program

organizational personnel with SDLC responsibilities

Assessment: TEST

Organizational processes for employing anti-tamper technologies

automated mechanisms supporting and/or implementing anti-tamper technologies

SA-18 (2) INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES

Label: INSERT into sa-18..2.

Parameter: sa-18_prm_1 organization-defined information systems, system components, or devices

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

at random

at sa-18_prm_3 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN] , upon sa-18_prm_4 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN]

Label: INSERT into sa-18..2.

Parameter: sa-18_prm_3 organization-defined frequency

Label: INSERT into sa-18..2.

Parameter: sa-18_prm_4 organization-defined indications of need for inspection

Control

The organization inspects sa-18_prm_1 INSERT into sa-18..2. [NO PARAMETER VALUE GIVEN] sa-18_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } at random at , upon [NO PARAMETER VALUE GIVEN] to detect tampering.

Supplemental guidance

This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines information systems, system components, or devices to be inspected to detect tampering;

[2]	defines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;

[3]	defines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;

[4]

inspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:

[a]	at random;

[b]	with the organization-defined frequency; and/or

[c]	upon organization-defined indications of need for inspection.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing tamper resistance and detection

records of random inspections

inspection reports/results

assessment reports/results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for the tamper protection program

Assessment: TEST

Organizational processes for inspecting information systems, system components, or devices to detect tampering

automated mechanisms supporting and/or implementing tampering detection

References: None

SA-19 COMPONENT AUTHENTICITY

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sa-19_prm_1 Insertion into SA-19b.

source of counterfeit component

sa-19_prm_2 INSERT into sa-19_smt_b (SA-19b.) [NO PARAMETER VALUE GIVEN]

sa-19_prm_3 INSERT into sa-19_smt_b (SA-19b.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into sa-19_smt_b (SA-19b.)

Parameter: sa-19_prm_2 organization-defined external reporting organizations

Label: INSERT into sa-19_smt_b (SA-19b.)

Parameter: sa-19_prm_3 organization-defined personnel or roles

Control

The organization:

a.	Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and

b.	Reports counterfeit information system components to sa-19_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } source of counterfeit component [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.

cf PE-3: PHYSICAL ACCESS CONTROL

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)	develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;

(b)

[1]	defines external reporting organizations to whom counterfeit information system components are to be reported;

[2]	defines personnel or roles to whom counterfeit information system components are to be reported;

[3]

reports counterfeit information system components to one or more of the following:

[a]	the source of counterfeit component;

[b]	the organization-defined external reporting organizations; and/or

[c]	the organization-defined personnel or roles.

Assessment: EXAMINE

System and services acquisition policy

anti-counterfeit policy and procedures

media disposal policy

media protection policy

incident response policy

training materials addressing counterfeit information system components

training records on detection and prevention of counterfeit components from entering the information system

reports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting

Assessment: TEST

Organizational processes for anti-counterfeit detection, prevention, and reporting

automated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting

Control enhancements

SA-19 (1) ANTI-COUNTERFEIT TRAINING

Label: INSERT into sa-19..1.

Parameter: sa-19_prm_4 organization-defined personnel or roles

Control

The organization trains sa-19_prm_4 INSERT into sa-19..1. [NO PARAMETER VALUE GIVEN] to detect counterfeit information system components (including hardware, software, and firmware).

Objectives

Determine if the organization:

[1]	defines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and

[2]	trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).

Assessment: EXAMINE

System and services acquisition policy

anti-counterfeit policy and procedures

media disposal policy

media protection policy

incident response policy

training materials addressing counterfeit information system components

training records on detection of counterfeit information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for anti-counterfeit policy, procedures, and training

Assessment: TEST

Organizational processes for anti-counterfeit training

SA-19 (2) CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR

Label: INSERT into sa-19..2.

Parameter: sa-19_prm_5 organization-defined information system components

Control

The organization maintains configuration control over sa-19_prm_5 INSERT into sa-19..2. [NO PARAMETER VALUE GIVEN] awaiting service/repair and serviced/repaired components awaiting return to service.

Objectives

Determine if the organization:

[1]	defines information system components requiring configuration control to be maintained when awaiting service/repair;

[2]	defines information system components requiring configuration control to be maintained when awaiting return to service; and

[3]	maintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.

Assessment: EXAMINE

System and services acquisition policy

anti-counterfeit policy and procedures

media protection policy

configuration management plan

information system design documentation

information system configuration settings and associated documentation

configuration control records for components awaiting service/repair

configuration control records for serviced/repaired components awaiting return to service

information system maintenance records

information system audit records

inventory management records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for anti-counterfeit policy and procedures

organizational personnel with responsibility for configuration management

Assessment: TEST

Organizational processes for configuration management

automated mechanisms supporting and/or implementing configuration management

SA-19 (3) COMPONENT DISPOSAL

Label: INSERT into sa-19..3.

Parameter: sa-19_prm_6 organization-defined techniques and methods

Control

The organization disposes of information system components using sa-19_prm_6 INSERT into sa-19..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Proper disposal of information system components helps to prevent such components from entering the gray market.

Objectives

Determine if the organization:

[1]	defines techniques and methods to dispose of information system components; and

[2]	disposes of information system components using organization-defined techniques and methods.

Assessment: EXAMINE

System and services acquisition policy

anti-counterfeit policy and procedures

media disposal policy

media protection policy

disposal records for information system components

documentation of disposal techniques and methods employed for information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for anti-counterfeit policy and procedures

organizational personnel with responsibility for disposal of information system components

Assessment: TEST

Organizational techniques and methods for information system component disposal

automated mechanisms supporting and/or implementing system component disposal

SA-19 (4) ANTI-COUNTERFEIT SCANNING

Label: INSERT into sa-19..4.

Parameter: sa-19_prm_7 organization-defined frequency

Control

The organization scans for counterfeit information system components sa-19_prm_7 INSERT into sa-19..4. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines a frequency to scan for counterfeit information system components; and

[2]	scans for counterfeit information system components with the organization-defined frequency.

Assessment: EXAMINE

System and services acquisition policy

anti-counterfeit policy and procedures

information system design documentation

information system configuration settings and associated documentation

scanning tools and associated documentation

scanning results

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for anti-counterfeit policy and procedures

organizational personnel with responsibility for anti-counterfeit scanning

Assessment: TEST

Organizational processes for anti-counterfeit scanning

automated mechanisms supporting and/or implementing anti-counterfeit scanning

References: None

SA-20 CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS

Label: INSERT into sa-20

Parameter: sa-20_prm_1 organization-defined critical information system components

Control

The organization re-implements or custom develops sa-20_prm_1 INSERT into sa-20 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.

cf CP-2: CONTINGENCY PLAN

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-14: CRITICALITY ANALYSIS

Objectives

Determine if the organization:

[1]	defines critical information system components to be re-implemented or custom developed; and

[2]	re-implements or custom develops organization-defined information system components.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing customized development of critical information system components

information system design documentation

information system configuration settings and associated documentation

system development life cycle documentation addressing custom development of critical information system components

configuration management records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility re-implementation or customized development of critical information system components

Assessment: TEST

Organizational processes for re-implementing or customized development of critical information system components

automated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components

References: None

SA-21 DEVELOPER SCREENING

Label: INSERT into sa-21

Parameter: sa-21_prm_1 organization-defined information system, system component, or information system service

Label: INSERT into sa-21_smt_a (SA-21a.)

Parameter: sa-21_prm_2 organization-defined official government duties

Label: INSERT into sa-21_smt_b (SA-21b.)

Parameter: sa-21_prm_3 organization-defined additional personnel screening criteria

Control

The organization requires that the developer of sa-21_prm_1 INSERT into sa-21 [NO PARAMETER VALUE GIVEN] :

a.	Have appropriate access authorizations as determined by assigned sa-21_prm_2 INSERT into sa-21_smt_a (SA-21a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Satisfy sa-21_prm_3 INSERT into sa-21_smt_b (SA-21b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.

cf PS-3: PERSONNEL SCREENING

cf PS-7: THIRD-PARTY PERSONNEL SECURITY

Objectives

Determine if the organization:

[1]	defines the information system, system component, or information system service for which the developer is to be screened;

[2]	defines official government duties to be used to determine appropriate access authorizations for the developer;

[3]	defines additional personnel screening criteria to be satisfied by the developer;

[4]

[a]	requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and

[b]	requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.

Assessment: EXAMINE

System and services acquisition policy

personnel security policy and procedures

procedures addressing personnel screening

information system design documentation

information system configuration settings and associated documentation

list of appropriate access authorizations required by developers of the information system

personnel screening criteria and associated documentation

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for developer screening

Assessment: TEST

Organizational processes for developer screening

automated mechanisms supporting developer screening

Control enhancements

SA-21 (1) VALIDATION OF SCREENING

Label: INSERT into sa-21..1.

Parameter: sa-21_prm_4 organization-defined actions

Control

The organization requires the developer of the information system, system component, or information system service take sa-21_prm_4 INSERT into sa-21..1. [NO PARAMETER VALUE GIVEN] to ensure that the required access authorizations and screening criteria are satisfied.

Supplemental guidance

Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.

Objectives

Determine if the organization:

[1]	defines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and

[2]	requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.

Assessment: EXAMINE

System and services acquisition policy

personnel security policy and procedures

procedures addressing personnel screening

information system design documentation

information system configuration settings and associated documentation

list of appropriate access authorizations required by developers of the information system

personnel screening criteria and associated documentation

list of actions ensuring required access authorizations and screening criteria are satisfied

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility for developer screening

system developer

Assessment: TEST

Organizational processes for developer screening

automated mechanisms supporting developer screening

References: None

SA-22 UNSUPPORTED SYSTEM COMPONENTS

Control

The organization:

a.	Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and

b.	Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.

Supplemental guidance

Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.

cf PL-2: SYSTEM SECURITY PLAN

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

Objectives

Determine if the organization:

(a)	replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;

(b)

[1]	provides justification for the continued use of unsupported system components required to satisfy mission/business needs; and

[2]	documents approval for the continued use of unsupported system components required to satisfy mission/business needs.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing replacement or continued use of unsupported information system components

documented evidence of replacing unsupported information system components

documented approvals (including justification) for continued use of unsupported information system components

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility system development life cycle

organizational personnel responsible for configuration management

Assessment: TEST

Organizational processes for replacing unsupported system components

automated mechanisms supporting and/or implementing replacement of unsupported system components

Control enhancements

SA-22 (1) ALTERNATIVE SOURCES FOR CONTINUED SUPPORT

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

in-house support

sa-22_prm_2 INSERT into sa-22..1. [NO PARAMETER VALUE GIVEN]

Label: INSERT into sa-22..1.

Parameter: sa-22_prm_2 organization-defined support from external providers

Control

The organization provides sa-22_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } in-house support [NO PARAMETER VALUE GIVEN] for unsupported information system components.

Supplemental guidance

This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.

Objectives

Determine if the organization:

[1]	defines support from external providers to be provided for unsupported information system components;

[2]

provides and/or obtains support for unsupported information system components from one or more of the following:

[a]	in-house support; and/or

[b]	organization-defined support from external providers.

Assessment: EXAMINE

System and services acquisition policy

procedures addressing support for unsupported information system components

solicitation documentation

acquisition documentation

acquisition contracts

service-level agreements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and services acquisition responsibilities

organizational personnel with information security responsibilities

organizational personnel with responsibility system development life cycle

organizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers

Assessment: TEST

Organizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers

automated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers

References: None

SYSTEM AND COMMUNICATIONS PROTECTION

SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES

Label: INSERT into sc-1_smt_a (SC-1a.)

Parameter: sc-1_prm_1 organization-defined personnel or roles

Label: INSERT into sc-1_smt_b.1 (SC-1b.1.)

Parameter: sc-1_prm_2 organization-defined frequency

Label: INSERT into sc-1_smt_b.2 (SC-1b.2.)

Parameter: sc-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to sc-1_prm_1 INSERT into sc-1_smt_a (SC-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and

Reviews and updates the current:

1.	System and communications protection policy sc-1_prm_2 INSERT into sc-1_smt_b.1 (SC-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	System and communications protection procedures sc-1_prm_3 INSERT into sc-1_smt_b.2 (SC-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and communications protection policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and communications protection policy is to be disseminated;

[3]	disseminates the system and communications protection policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and communications protection policy;

[2]	reviews and updates the current system and communications protection policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and communications protection procedures; and

[2]	reviews and updates the current system and communications protection procedures with the organization-defined frequency.

Assessment: EXAMINE

System and communications protection policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and communications protection responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

SC-2 APPLICATION PARTITIONING

Control

The information system separates user functionality (including user interface services) from information system management functionality.

Supplemental guidance

Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.

cf SA-4: ACQUISITION PROCESS

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SC-3: SECURITY FUNCTION ISOLATION

Objective

Determine if the information system separates user functionality (including user interface services) from information system management functionality.

Assessment: EXAMINE

System and communications protection policy

procedures addressing application partitioning

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Separation of user functionality from information system management functionality

Control enhancements

SC-2 (1) INTERFACES FOR NON-PRIVILEGED USERS

Control

The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.

Supplemental guidance

This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.

cf AC-3: ACCESS ENFORCEMENT

Objective

Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.

Assessment: EXAMINE

System and communications protection policy

procedures addressing application partitioning

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

non-privileged users of the information system

system developer

Assessment: TEST

Separation of user functionality from information system management functionality

References: None

SC-3 SECURITY FUNCTION ISOLATION

Control

The information system isolates security functions from nonsecurity functions.

Supplemental guidance

The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf SA-4: ACQUISITION PROCESS

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-13: TRUSTWORTHINESS

cf SC-2: APPLICATION PARTITIONING

cf SC-7: BOUNDARY PROTECTION

cf SC-39: PROCESS ISOLATION

Objective

Determine if the information system isolates security functions from nonsecurity functions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

list of security functions to be isolated from nonsecurity functions

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Separation of security functions from nonsecurity functions within the information system

Control enhancements

SC-3 (1) HARDWARE SEPARATION

Control

The information system utilizes underlying hardware separation mechanisms to implement security function isolation.

Supplemental guidance

Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).

Objective

Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

information system design documentation

hardware separation mechanisms

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Separation of security functions from nonsecurity functions within the information system

SC-3 (2) ACCESS / FLOW CONTROL FUNCTIONS

Control

The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.

Supplemental guidance

Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.

Objectives

Determine if the information system isolates security functions enforcing:

[1]	access control from nonsecurity functions;

[2]	information flow control from nonsecurity functions;

[3]	access control from other security functions; and

[4]	information flow control from other security functions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

list of critical security functions

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Isolation of security functions enforcing access and information flow control

SC-3 (3) MINIMIZE NONSECURITY FUNCTIONALITY

Control

The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.

Supplemental guidance

In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.

Objective

Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing an isolation boundary

SC-3 (4) MODULE COUPLING AND COHESIVENESS

Control

The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.

Supplemental guidance

The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.

Objectives

Determine if the organization implements security functions as largely independent modules that:

[1]	maximize internal cohesiveness within modules; and

[2]	minimize coupling between modules.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules

automated mechanisms supporting and/or implementing security functions as independent modules

SC-3 (5) LAYERED STRUCTURES

Control

The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.

Supplemental guidance

The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.

Objectives

Determine if the organization implements security functions as a layered structure:

[1]	minimizing interactions between layers of the design; and

[2]	avoiding any dependence by lower layers on the functionality or correctness of higher layers.

Assessment: EXAMINE

System and communications protection policy

procedures addressing security function isolation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers

automated mechanisms supporting and/or implementing security functions as a layered structure

References: None

SC-4 INFORMATION IN SHARED RESOURCES

Control

The information system prevents unauthorized and unintended information transfer via shared system resources.

Supplemental guidance

This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf MP-6: MEDIA SANITIZATION

Objective

Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information protection in shared system resources

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources

Control enhancements

SC-4 (1) SECURITY LEVELS

cf SC-4: INFORMATION IN SHARED RESOURCES

Control

Withdrawn: Incorporated into SC-4.

SC-4 (2) PERIODS PROCESSING

Label: INSERT into sc-4..2.

Parameter: sc-4_prm_1 organization-defined procedures

Control

The information system prevents unauthorized information transfer via shared resources in accordance with sc-4_prm_1 INSERT into sc-4..2. [NO PARAMETER VALUE GIVEN] when system processing explicitly switches between different information classification levels or security categories.

Supplemental guidance

This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.

Objectives

Determine if:

[1]	the organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and

[2]	the information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information protection in shared system resources

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms preventing unauthorized transfer of information via shared system resources

References: None

SC-5 DENIAL OF SERVICE PROTECTION

Label: INSERT into sc-5

Parameter: sc-5_prm_1 organization-defined types of denial of service attacks or references to sources for such information

Label: INSERT into sc-5

Parameter: sc-5_prm_2 organization-defined security safeguards

Control

The information system protects against or limits the effects of the following types of denial of service attacks: sc-5_prm_1 INSERT into sc-5 [NO PARAMETER VALUE GIVEN] by employing sc-5_prm_2 INSERT into sc-5 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.

cf SC-6: RESOURCE AVAILABILITY

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if:

[1]	the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;

[2]	the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and

[3]	the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing denial of service protection

information system design documentation

security plan

list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks

list of security safeguards protecting against or limiting the effects of denial of service attacks

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with incident response responsibilities

system developer

Assessment: TEST

Automated mechanisms protecting against or limiting the effects of denial of service attacks

Control enhancements

SC-5 (1) RESTRICT INTERNAL USERS

Label: INSERT into sc-5..1.

Parameter: sc-5_prm_3 organization-defined denial of service attacks

Control

The information system restricts the ability of individuals to launch sc-5_prm_3 INSERT into sc-5..1. [NO PARAMETER VALUE GIVEN] against other information systems.

Supplemental guidance

Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.

Objectives

Determine if:

[1]	the organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and

[2]	the information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.

Assessment: EXAMINE

System and communications protection policy

procedures addressing denial of service protection

information system design documentation

security plan

list of denial of service attacks launched by individuals against information systems

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with incident response responsibilities

system developer

Assessment: TEST

Automated mechanisms restricting the ability to launch denial of service attacks against other information systems

SC-5 (2) EXCESS CAPACITY / BANDWIDTH / REDUNDANCY

Control

The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.

Supplemental guidance

Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.

Objectives

Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:

[1]	excess capacity;

[2]	bandwidth; or

[3]	other redundancy.

Assessment: EXAMINE

System and communications protection policy

procedures addressing denial of service protection

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with incident response responsibilities

system developer

Assessment: TEST

Automated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks

SC-5 (3) DETECTION / MONITORING

Label: INSERT into sc-5..3._smt_a (SC-5 (3)(a))

Parameter: sc-5_prm_4 organization-defined monitoring tools

Label: INSERT into sc-5..3._smt_b (SC-5 (3)(b))

Parameter: sc-5_prm_5 organization-defined information system resources

Control

The organization:

(a)	Employs sc-5_prm_4 INSERT into sc-5..3._smt_a (SC-5 (3)(a)) [NO PARAMETER VALUE GIVEN] to detect indicators of denial of service attacks against the information system; and

(b)	Monitors sc-5_prm_5 INSERT into sc-5..3._smt_b (SC-5 (3)(b)) [NO PARAMETER VALUE GIVEN] to determine if sufficient resources exist to prevent effective denial of service attacks.

Supplemental guidance

Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.

cf CA-7: CONTINUOUS MONITORING

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

[1]	defines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;

[2]	employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;

(b)

[1]	defines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and

[2]	monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.

Assessment: EXAMINE

System and communications protection policy

procedures addressing denial of service protection

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with detection and monitoring responsibilities

Assessment: TEST

Automated mechanisms/tools implementing information system monitoring for denial of service attacks

References: None

SC-6 RESOURCE AVAILABILITY

Label: INSERT into sc-6

Parameter: sc-6_prm_1 organization-defined resources

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

priority

quota

sc-6_prm_3 INSERT into sc-6 [NO PARAMETER VALUE GIVEN]

Label: INSERT into sc-6

Parameter: sc-6_prm_3 organization-defined security safeguards

Control

The information system protects the availability of resources by allocating sc-6_prm_1 INSERT into sc-6 [NO PARAMETER VALUE GIVEN] by sc-6_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } priority quota [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.

Objectives

Determine if:

[1]	the organization defines resources to be allocated to protect the availability of resources;

[2]	the organization defines security safeguards to be employed to protect the availability of resources;

[3]

the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:

[a]

priority;

[b]	quota; and/or

[c]	organization-defined safeguards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing prioritization of information system resources

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing resource allocation capability

safeguards employed to protect availability of resources

References: None

SC-7 BOUNDARY PROTECTION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sc-7_prm_1 Insertion into SC-7b.

physically

logically

Control

The information system:

a.	Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;

b.	Implements subnetworks for publicly accessible system components that are sc-7_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } physically logically [NO PARAMETER VALUE GIVEN] separated from internal organizational networks; and

c.	Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

Supplemental guidance

Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-17: REMOTE ACCESS

cf CA-3: SYSTEM INTERCONNECTIONS

cf CM-7: LEAST FUNCTIONALITY

cf CP-8: TELECOMMUNICATIONS SERVICES

cf IR-4: INCIDENT HANDLING

cf RA-3: RISK ASSESSMENT

cf SC-5: DENIAL OF SERVICE PROTECTION

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the information system:

(a)

[1]	monitors communications at the external boundary of the information system;

[2]	monitors communications at key internal boundaries within the system;

[3]	controls communications at the external boundary of the information system;

[4]	controls communications at key internal boundaries within the system;

(b)

implements subnetworks for publicly accessible system components that are either:

[1]	physically separated from internal organizational networks; and/or

[2]	logically separated from internal organizational networks; and

(c)	connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

list of key internal boundaries of the information system

information system design documentation

boundary protection hardware and software

information system configuration settings and associated documentation

enterprise security architecture documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

Control enhancements

SC-7 (1) PHYSICALLY SEPARATED SUBNETWORKS

cf SC-7: BOUNDARY PROTECTION

Control

Withdrawn: Incorporated into SC-7.

SC-7 (2) PUBLIC ACCESS

cf SC-7: BOUNDARY PROTECTION

Control

Withdrawn: Incorporated into SC-7.

SC-7 (3) ACCESS POINTS

Control

The organization limits the number of external network connections to the information system.

Supplemental guidance

Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.

Objective

Determine if the organization limits the number of external network connections to the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

boundary protection hardware and software

information system architecture and configuration documentation

information system configuration settings and associated documentation

communications and network traffic monitoring logs

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

automated mechanisms limiting the number of external network connections to the information system

SC-7 (4) EXTERNAL TELECOMMUNICATIONS SERVICES

Label: INSERT into sc-7..4._smt_e (SC-7 (4)(e))

Parameter: sc-7_prm_2 organization-defined frequency

Control

The organization:

(a)	Implements a managed interface for each external telecommunication service;

(b)	Establishes a traffic flow policy for each managed interface;

(c)	Protects the confidentiality and integrity of the information being transmitted across each interface;

(d)	Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and

(e)	Reviews exceptions to the traffic flow policy sc-7_prm_2 INSERT into sc-7..4._smt_e (SC-7 (4)(e)) [NO PARAMETER VALUE GIVEN] and removes exceptions that are no longer supported by an explicit mission/business need.

Supplemental guidance

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Objectives

Determine if the organization:

(a)	implements a managed interface for each external telecommunication service;

(b)	establishes a traffic flow policy for each managed interface;

(c)	protects the confidentiality and integrity of the information being transmitted across each interface;

(d)

documents each exception to the traffic flow policy with:

[1]	a supporting mission/business need;

[2]	duration of that need;

(e)

[1]	defines a frequency to review exceptions to traffic flow policy;

[2]	reviews exceptions to the traffic flow policy with the organization-defined frequency; and

[3]	removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need

Assessment: EXAMINE

System and communications protection policy

traffic flow policy

information flow control policy

procedures addressing boundary protection

information system security architecture

information system design documentation

boundary protection hardware and software

information system architecture and configuration documentation

information system configuration settings and associated documentation

records of traffic flow policy exceptions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Organizational processes for documenting and reviewing exceptions to the traffic flow policy

organizational processes for removing exceptions to the traffic flow policy

automated mechanisms implementing boundary protection capability

managed interfaces implementing traffic flow policy

SC-7 (5) DENY BY DEFAULT / ALLOW BY EXCEPTION

Control

The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).

Supplemental guidance

This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.

Objectives

Determine if the information system, at managed interfaces:

[1]	denies network traffic by default; and

[2]	allows network traffic by exception.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing traffic management at managed interfaces

SC-7 (6) RESPONSE TO RECOGNIZED FAILURES

cf SC-7 (18): FAIL SECURE

Control

Withdrawn: Incorporated into SC-7 (18).

SC-7 (7) PREVENT SPLIT TUNNELING FOR REMOTE DEVICES

Control

The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.

Supplemental guidance

This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.

Objective

Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

automated mechanisms supporting/restricting non-remote connections

SC-7 (8) ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS

Label: INSERT into sc-7..8.

Parameter: sc-7_prm_3 organization-defined internal communications traffic

Label: INSERT into sc-7..8.

Parameter: sc-7_prm_4 organization-defined external networks

Control

The information system routes sc-7_prm_3 INSERT into sc-7..8. [NO PARAMETER VALUE GIVEN] to sc-7_prm_4 INSERT into sc-7..8. [NO PARAMETER VALUE GIVEN] through authenticated proxy servers at managed interfaces.

Supplemental guidance

External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.

cf AC-3: ACCESS ENFORCEMENT

cf AU-2: AUDIT EVENTS

Objectives

Determine if:

[1]	the organization defines internal communications traffic to be routed to external networks;

[2]	the organization defines external networks to which organization-defined internal communications traffic is to be routed; and

[3]	the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces

SC-7 (9) RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC

Control

The information system:

(a)	Detects and denies outgoing communications traffic posing a threat to external information systems; and

(b)	Audits the identity of internal users associated with denied communications.

Supplemental guidance

Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf SC-38: OPERATIONS SECURITY

cf SC-44: DETONATION CHAMBERS

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the information system:

(a)

[1]	detects outgoing communications traffic posing a threat to external information systems; and

[2]	denies outgoing communications traffic posing a threat to external information systems; and

(b)	audits the identity of internal users associated with denied communications.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

automated mechanisms implementing detection and denial of threatening outgoing communications traffic

automated mechanisms implementing auditing of outgoing communications traffic

SC-7 (10) PREVENT UNAUTHORIZED EXFILTRATION

Control

The organization prevents the unauthorized exfiltration of information across managed interfaces.

Supplemental guidance

Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.

cf SI-3: MALICIOUS CODE PROTECTION

Objective

Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capability

preventing unauthorized exfiltration of information across managed interfaces

SC-7 (11) RESTRICT INCOMING COMMUNICATIONS TRAFFIC

Label: INSERT into sc-7..11.

Parameter: sc-7_prm_5 organization-defined authorized sources

Label: INSERT into sc-7..11.

Parameter: sc-7_prm_6 organization-defined authorized destinations

Control

The information system only allows incoming communications from sc-7_prm_5 INSERT into sc-7..11. [NO PARAMETER VALUE GIVEN] to be routed to sc-7_prm_6 INSERT into sc-7..11. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.

cf AC-3: ACCESS ENFORCEMENT

Objectives

Determine if:

[1]	the organization defines internal communications traffic to be routed to external networks;

[2]	the organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and

[3]	the information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs

SC-7 (12) HOST-BASED PROTECTION

Label: INSERT into sc-7..12.

Parameter: sc-7_prm_7 organization-defined host-based boundary protection mechanisms

Label: INSERT into sc-7..12.

Parameter: sc-7_prm_8 organization-defined information system components

Control

The organization implements sc-7_prm_7 INSERT into sc-7..12. [NO PARAMETER VALUE GIVEN] at sc-7_prm_8 INSERT into sc-7..12. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.

Objectives

Determine if the organization:

[1]	defines host-based boundary protection mechanisms;

[2]	defines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and

[3]	implements organization-defined host-based boundary protection mechanisms at organization-defined information system components.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

boundary protection hardware and software

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

information system users

Assessment: TEST

Automated mechanisms implementing host-based boundary protection capabilities

SC-7 (13) ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS

Label: INSERT into sc-7..13.

Parameter: sc-7_prm_9 organization-defined information security tools, mechanisms, and support components

Control

The organization isolates sc-7_prm_9 INSERT into sc-7..13. [NO PARAMETER VALUE GIVEN] from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

Supplemental guidance

Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SC-2: APPLICATION PARTITIONING

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if the organization:

[1]	defines information security tools, mechanisms, and support components to be isolated from other internal information system components; and

[2]	isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

list of security tools and support components to be isolated from other internal information system components

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components

SC-7 (14) PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS

Label: INSERT into sc-7..14.

Parameter: sc-7_prm_10 organization-defined managed interfaces

Control

The organization protects against unauthorized physical connections at sc-7_prm_10 INSERT into sc-7..14. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

cf PE-19: INFORMATION LEAKAGE

Objectives

Determine if the organization:

[1]	defines managed interfaces to be protected against unauthorized physical connections; and

[2]	protects against unauthorized physical connections at organization-defined managed interfaces.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

facility communications and wiring diagram

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing protection against unauthorized physical connections

SC-7 (15) ROUTE PRIVILEGED NETWORK ACCESSES

Control

The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.

Supplemental guidance

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AU-2: AUDIT EVENTS

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:

[1]	access control; and

[2]

auditing.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

audit logs

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces

SC-7 (16) PREVENT DISCOVERY OF COMPONENTS / DEVICES

Control

The information system prevents discovery of specific system components composing a managed interface.

Supplemental guidance

This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.

Objective

Determine if the information system prevents discovery of specific system components composing a managed interface.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces

SC-7 (17) AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS

Control

The information system enforces adherence to protocol formats.

Supplemental guidance

Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.

cf SC-4: INFORMATION IN SHARED RESOURCES

Objective

Determine if the information system enforces adherence to protocol formats.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats

SC-7 (18) FAIL SECURE

Control

The information system fails securely in the event of an operational failure of a boundary protection device.

Supplemental guidance

Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.

cf CP-2: CONTINGENCY PLAN

cf SC-24: FAIL IN KNOWN STATE

Objective

Determine if the information system fails securely in the event of an operational failure of a boundary protection device.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing secure failure

SC-7 (19) BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS

Label: INSERT into sc-7..19.

Parameter: sc-7_prm_11 organization-defined communication clients

Control

The information system blocks both inbound and outbound communications traffic between sc-7_prm_11 INSERT into sc-7..19. [NO PARAMETER VALUE GIVEN] that are independently configured by end users and external service providers.

Supplemental guidance

Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.

Objectives

Determine if the organization:

[1]	defines communication clients that are independently configured by end users and external service providers; and

[2]

blocks, between organization-defined communication clients that are independently configured by end users and external service providers,:

[a]	inbound communications traffic; and

[b]	outbound communications traffic.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

list of communication clients independently configured by end users and external service providers

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers

SC-7 (20) DYNAMIC ISOLATION / SEGREGATION

Label: INSERT into sc-7..20.

Parameter: sc-7_prm_12 organization-defined information system components

Control

The information system provides the capability to dynamically isolate/segregate sc-7_prm_12 INSERT into sc-7..20. [NO PARAMETER VALUE GIVEN] from other components of the system.

Supplemental guidance

The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.

Objectives

Determine if:

[1]	the organization defines information system components to be dynamically isolated/segregated from other components of the system; and

[2]	the information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

list of information system components to be dynamically isolated/segregated from other components of the system

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components

SC-7 (21) ISOLATION OF INFORMATION SYSTEM COMPONENTS

Label: INSERT into sc-7..21.

Parameter: sc-7_prm_13 organization-defined information system components

Label: INSERT into sc-7..21.

Parameter: sc-7_prm_14 organization-defined missions and/or business functions

Control

The organization employs boundary protection mechanisms to separate sc-7_prm_13 INSERT into sc-7..21. [NO PARAMETER VALUE GIVEN] supporting sc-7_prm_14 INSERT into sc-7..21. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.

cf CA-9: INTERNAL SYSTEM CONNECTIONS

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if the organization:

[1]	defines information system components to be separated by boundary protection mechanisms;

[2]	defines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and

[3]	employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

enterprise architecture documentation

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions

SC-7 (22) SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS

Control

The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.

Supplemental guidance

Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.

Objective

Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing separate network addresses/different subnets

SC-7 (23) DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE

Control

The information system disables feedback to senders on protocol format validation failure.

Supplemental guidance

Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.

Objective

Determine if the information system disables feedback to senders on protocol format validation failure.

Assessment: EXAMINE

System and communications protection policy

procedures addressing boundary protection

information system design documentation

information system hardware and software

information system architecture

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with boundary protection responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure

References

cf FIPS Publication 199

cf NIST Special Publication 800-41

cf NIST Special Publication 800-77

SC-8 TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

confidentiality

integrity

Control

The information system protects the sc-8_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of transmitted information.

Supplemental guidance

This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.

cf AC-17: REMOTE ACCESS

cf PE-4: ACCESS CONTROL FOR TRANSMISSION MEDIUM

Objectives

Determine if the information system protects one or more of the following:

[1]	confidentiality of transmitted information; and/or

[2]	integrity of transmitted information.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity

Control enhancements

SC-8 (1) CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

prevent unauthorized disclosure of information

detect changes to information

Label: INSERT into sc-8..1.

Parameter: sc-8_prm_3 organization-defined alternative physical safeguards

Control

The information system implements cryptographic mechanisms to sc-8_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } prevent unauthorized disclosure of information detect changes to information [NO PARAMETER VALUE GIVEN] during transmission unless otherwise protected by sc-8_prm_3 INSERT into sc-8..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and

[2]

the information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:

[a]	prevent unauthorized disclosure of information; and/or

[b]	detect changes to information.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity

automated mechanisms supporting and/or implementing alternative physical safeguards

organizational processes for defining and implementing alternative physical safeguards

SC-8 (2) PRE / POST TRANSMISSION HANDLING

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

confidentiality

integrity

Control

The information system maintains the sc-8_prm_4 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of information during preparation for transmission and during reception.

Supplemental guidance

Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.

cf AU-10: NON-REPUDIATION

Objectives

Determine if the information system maintains one or more of the following:

[1]	confidentiality of information during preparation for transmission;

[2]	confidentiality of information during reception; and/or

[3]	integrity of information during preparation for transmission;

[4]	integrity of information during reception.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity

SC-8 (3) CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS

Label: INSERT into sc-8..3.

Parameter: sc-8_prm_5 organization-defined alternative physical safeguards

Control

The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by sc-8_prm_5 INSERT into sc-8..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines alternative physical safeguards to be implemented to protect message externals; and

[2]	the information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals

automated mechanisms supporting and/or implementing alternative physical safeguards

organizational processes for defining and implementing alternative physical safeguards

SC-8 (4) CONCEAL / RANDOMIZE COMMUNICATIONS

Label: INSERT into sc-8..4.

Parameter: sc-8_prm_6 organization-defined alternative physical safeguards

Control

The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by sc-8_prm_6 INSERT into sc-8..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;

[2]

the information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:

[a]	conceal communication patterns; or

[b]	randomize communication patterns.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission confidentiality and integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Cryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns

automated mechanisms supporting and/or implementing alternative physical safeguards

organizational processes for defining and implementing alternative physical safeguards

References

cf FIPS Publication 140-2

cf FIPS Publication 197

cf NIST Special Publication 800-52

cf NIST Special Publication 800-77

cf NIST Special Publication 800-81

cf NIST Special Publication 800-113

cf CNSS Policy 15

cf NSTISSI No. 7003

SC-9 TRANSMISSION CONFIDENTIALITY

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Control

Withdrawn: Incorporated into SC-8.

References: None

SC-10 NETWORK DISCONNECT

Label: INSERT into sc-10

Parameter: sc-10_prm_1 organization-defined time period

Control

The information system terminates the network connection associated with a communications session at the end of the session or after sc-10_prm_1 INSERT into sc-10 [NO PARAMETER VALUE GIVEN] of inactivity.

Supplemental guidance

This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.

Objectives

Determine if:

[1]	the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and

[2]	the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.

Assessment: EXAMINE

System and communications protection policy

procedures addressing network disconnect

information system design documentation

security plan

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing network disconnect capability

References: None

SC-11 TRUSTED PATH

Label: INSERT into sc-11

Parameter: sc-11_prm_1 organization-defined security functions to include at a minimum, information system authentication and re-authentication

Control

The information system establishes a trusted communications path between the user and the following security functions of the system: sc-11_prm_1 INSERT into sc-11 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.

cf AC-16: SECURITY ATTRIBUTES

cf AC-25: REFERENCE MONITOR

Objectives

Determine if:

[1]	the organization defines security functions of the information system;

[2]	the organization-defined security functions include at a minimum, information system authentication and re-authentication; and

[3]	the information system establishes a trusted communications path between the user and the organization-defined security functions of the system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing trusted communications paths

security plan

information system design documentation

information system configuration settings and associated documentation

assessment results from independent, testing organizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing trusted communications paths

Control enhancements

SC-11 (1) LOGICAL ISOLATION

Control

The information system provides a trusted communications path that is logically isolated and distinguishable from other paths.

Objectives

Determine if the information system provides a trusted communications path that is:

[1]	logically isolated; and

[2]	distinguishable from other paths.

Assessment: EXAMINE

System and communications protection policy

procedures addressing trusted communications paths

security plan

information system design documentation

information system configuration settings and associated documentation

assessment results from independent, testing organizations

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing trusted communications paths

References: None

SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Label: INSERT into sc-12

Parameter: sc-12_prm_1 organization-defined requirements for key generation, distribution, storage, access, and destruction

Control

The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with sc-12_prm_1 INSERT into sc-12 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-17: PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Objectives

Determine if the organization:

[1]

defines requirements for cryptographic key:

[a]	generation;

[b]	distribution;

[c]

storage;

[d]

access;

[e]	destruction; and

[2]	establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic key establishment and management

information system design documentation

cryptographic mechanisms

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for cryptographic key establishment and/or management

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic key establishment and management

Control enhancements

SC-12 (1) AVAILABILITY

Control

The organization maintains availability of information in the event of the loss of cryptographic keys by users.

Supplemental guidance

Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).

Objective

Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic key establishment, management, and recovery

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for cryptographic key establishment or management

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic key establishment and management

SC-12 (2) SYMMETRIC KEYS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

NIST FIPS-compliant

NSA-approved

Control

The organization produces, controls, and distributes symmetric cryptographic keys using sc-12_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } NIST FIPS-compliant NSA-approved [NO PARAMETER VALUE GIVEN] key management technology and processes.

Objectives

Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:

[1]	NIST FIPS-compliant key management technology and processes; or

[2]	NSA-approved key management technology and processes.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic key establishment and management

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of FIPS validated cryptographic products

list of NSA-approved cryptographic products

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for cryptographic key establishment or management

Assessment: TEST

Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management

SC-12 (3) ASYMMETRIC KEYS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

NSA-approved key management technology and processes

approved PKI Class 3 certificates or prepositioned keying material

approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key

Control

The organization produces, controls, and distributes asymmetric cryptographic keys using sc-12_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } NSA-approved key management technology and processes approved PKI Class 3 certificates or prepositioned keying material approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:

[1]	NSA-approved key management technology and processes;

[2]	approved PKI Class 3 certificates or prepositioned keying material; or

[3]	approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic key establishment and management

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of NSA-approved cryptographic products

list of approved PKI Class 3 and Class 4 certificates

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for cryptographic key establishment or management

organizational personnel with responsibilities for PKI certificates

Assessment: TEST

Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management

SC-12 (4) PKI CERTIFICATES

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control

Withdrawn: Incorporated into SC-12.

SC-12 (5) PKI CERTIFICATES / HARDWARE TOKENS

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control

Withdrawn: Incorporated into SC-12.

References

cf NIST Special Publication 800-56

cf NIST Special Publication 800-57

SC-13 CRYPTOGRAPHIC PROTECTION

Label: INSERT into sc-13

Parameter: sc-13_prm_1 organization-defined cryptographic uses and type of cryptography required for each use

Control

The information system implements sc-13_prm_1 INSERT into sc-13 [NO PARAMETER VALUE GIVEN] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

Supplemental guidance

Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-7: UNSUCCESSFUL LOGON ATTEMPTS

cf AC-17: REMOTE ACCESS

cf AC-18: WIRELESS ACCESS

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf AU-10: NON-REPUDIATION

cf CM-11: USER-INSTALLED SOFTWARE

cf CP-9: INFORMATION SYSTEM BACKUP

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

cf IA-7: CRYPTOGRAPHIC MODULE AUTHENTICATION

cf MA-4: NONLOCAL MAINTENANCE

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf SA-4: ACQUISITION PROCESS

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-28: PROTECTION OF INFORMATION AT REST

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if:

[1]	the organization defines cryptographic uses; and

[2]	the organization defines the type of cryptography required for each use; and

[3]	the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.

Assessment: EXAMINE

System and communications protection policy

procedures addressing cryptographic protection

information system design documentation

information system configuration settings and associated documentation

cryptographic module validation certificates

list of FIPS validated cryptographic modules

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for cryptographic protection

Assessment: TEST

Automated mechanisms supporting and/or implementing cryptographic protection

Control enhancements

SC-13 (1) FIPS-VALIDATED CRYPTOGRAPHY

cf SC-13: CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-13.

SC-13 (2) NSA-APPROVED CRYPTOGRAPHY

cf SC-13: CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-13.

SC-13 (3) INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS

cf SC-13: CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-13.

SC-13 (4) DIGITAL SIGNATURES

cf SC-13: CRYPTOGRAPHIC PROTECTION

Control

Withdrawn: Incorporated into SC-13.

References

cf FIPS Publication 140

cf http://csrc.nist.gov/cryptval

cf http://www.cnss.gov

SC-14 PUBLIC ACCESS PROTECTIONS

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-5: SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

cf SI-10: INFORMATION INPUT VALIDATION

Control

Withdrawn: Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10.

References: None

SC-15 COLLABORATIVE COMPUTING DEVICES

Label: INSERT into sc-15_smt_a (SC-15a.)

Parameter: sc-15_prm_1 organization-defined exceptions where remote activation is to be allowed

Control

The information system:

a.	Prohibits remote activation of collaborative computing devices with the following exceptions: sc-15_prm_1 INSERT into sc-15_smt_a (SC-15a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Provides an explicit indication of use to users physically present at the devices.

Supplemental guidance

Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.

cf AC-21: INFORMATION SHARING

Objectives

Determine if:

(a)

[1]	the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;

[2]	the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and

(b)	the information system provides an explicit indication of use to users physically present at the devices.

Assessment: EXAMINE

System and communications protection policy

procedures addressing collaborative computing

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing collaborative computing devices

Assessment: TEST

Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices

automated mechanisms providing an indication of use of collaborative computing devices

Control enhancements

SC-15 (1) PHYSICAL DISCONNECT

Control

The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.

Supplemental guidance

Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.

Objective

Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.

Assessment: EXAMINE

System and communications protection policy

procedures addressing collaborative computing

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing collaborative computing devices

Assessment: TEST

Automated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices

SC-15 (2) BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC

cf SC-7: BOUNDARY PROTECTION

Control

Withdrawn: Incorporated into SC-7.

SC-15 (3) DISABLING / REMOVAL IN SECURE WORK AREAS

Label: INSERT into sc-15..3.

Parameter: sc-15_prm_2 organization-defined information systems or information system components

Label: INSERT into sc-15..3.

Parameter: sc-15_prm_3 organization-defined secure work areas

Control

The organization disables or removes collaborative computing devices from sc-15_prm_2 INSERT into sc-15..3. [NO PARAMETER VALUE GIVEN] in sc-15_prm_3 INSERT into sc-15..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.

Objectives

Determine if the organization:

[1]	defines information systems or information system components from which collaborative computing devices are to be disabled or removed;

[2]	defines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and

[3]	disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.

Assessment: EXAMINE

System and communications protection policy

procedures addressing collaborative computing

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of secure work areas

information systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing collaborative computing devices

Assessment: TEST

Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices

SC-15 (4) EXPLICITLY INDICATE CURRENT PARTICIPANTS

Label: INSERT into sc-15..4.

Parameter: sc-15_prm_4 organization-defined online meetings and teleconferences

Control

The information system provides an explicit indication of current participants in sc-15_prm_4 INSERT into sc-15..4. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.

Objectives

Determine if:

[1]	the organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and

[2]	the information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.

Assessment: EXAMINE

System and communications protection policy

procedures addressing collaborative computing

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

list of types of meetings and teleconferences requiring explicit indication of current participants

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing collaborative computing devices

Assessment: TEST

Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices

References: None

SC-16 TRANSMISSION OF SECURITY ATTRIBUTES

Label: INSERT into sc-16

Parameter: sc-16_prm_1 organization-defined security attributes

Control

The information system associates sc-16_prm_1 INSERT into sc-16 [NO PARAMETER VALUE GIVEN] with information exchanged between information systems and between system components.

Supplemental guidance

Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-16: SECURITY ATTRIBUTES

Objectives

Determine if:

[1]

the organization defines security attributes to be associated with information exchanged:

[a]	between information systems;

[b]	between system components;

[2]

the information system associates organization-defined security attributes with information exchanged:

[a]	between information systems; and

[b]	between system components.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission of security attributes

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing transmission of security attributes between information systems

Control enhancements

SC-16 (1) INTEGRITY VALIDATION

Control

The information system validates the integrity of transmitted security attributes.

Supplemental guidance

This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.

cf AU-10: NON-REPUDIATION

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Objective

Determine if the information system validates the integrity of transmitted security attributes.

Assessment: EXAMINE

System and communications protection policy

procedures addressing transmission of security attributes

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes

References: None

SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Label: INSERT into sc-17

Parameter: sc-17_prm_1 organization-defined certificate policy

Control

The organization issues public key certificates under an sc-17_prm_1 INSERT into sc-17 [NO PARAMETER VALUE GIVEN] or obtains public key certificates from an approved service provider.

Supplemental guidance

For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Objectives

Determine if the organization:

[1]	defines a certificate policy for issuing public key certificates;

[2]

issues public key certificates:

[a]	under an organization-defined certificate policy: or

[b]	obtains public key certificates from an approved service provider.

Assessment: EXAMINE

System and communications protection policy

procedures addressing public key infrastructure certificates

public key certificate policy or policies

public key issuing process

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for issuing public key certificates

service providers

Assessment: TEST

Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates

References

cf OMB Memorandum 05-24

cf NIST Special Publication 800-32

cf NIST Special Publication 800-63

SC-18 MOBILE CODE

Control

The organization:

a.	Defines acceptable and unacceptable mobile code and mobile code technologies;

b.	Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and

c.	Authorizes, monitors, and controls the use of mobile code within the information system.

Supplemental guidance

Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.

cf AU-2: AUDIT EVENTS

cf AU-12: AUDIT GENERATION

cf CM-2: BASELINE CONFIGURATION

cf CM-6: CONFIGURATION SETTINGS

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if the organization:

(a)	defines acceptable and unacceptable mobile code and mobile code technologies;

(b)

[1]	establishes usage restrictions for acceptable mobile code and mobile code technologies;

[2]	establishes implementation guidance for acceptable mobile code and mobile code technologies;

(c)

[1]	authorizes the use of mobile code within the information system;

[2]	monitors the use of mobile code within the information system; and

[3]	controls the use of mobile code within the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage restrictions, mobile code implementation policy and procedures

list of acceptable mobile code and mobile code technologies

list of unacceptable mobile code and mobile technologies

authorization records

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Organizational process for controlling, authorizing, monitoring, and restricting mobile code

automated mechanisms supporting and/or implementing the management of mobile code

automated mechanisms supporting and/or implementing the monitoring of mobile code

Control enhancements

SC-18 (1) IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS

Label: INSERT into sc-18..1.

Parameter: sc-18_prm_1 organization-defined unacceptable mobile code

Label: INSERT into sc-18..1.

Parameter: sc-18_prm_2 organization-defined corrective actions

Control

The information system identifies sc-18_prm_1 INSERT into sc-18..1. [NO PARAMETER VALUE GIVEN] and takes sc-18_prm_2 INSERT into sc-18..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.

Objectives

Determine if:

[1]	the organization defines unacceptable mobile code to be identified by the information system;

[2]	the organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;

[3]

the information system:

[a]	identifies organization-defined unacceptable mobile code; and

[b]	takes organization-defined corrective actions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage restrictions, mobile code implementation policy and procedures

information system design documentation

information system configuration settings and associated documentation

list of unacceptable mobile code

list of corrective actions to be taken when unacceptable mobile code is identified

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability

SC-18 (2) ACQUISITION / DEVELOPMENT / USE

Label: INSERT into sc-18..2.

Parameter: sc-18_prm_3 organization-defined mobile code requirements

Control

The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets sc-18_prm_3 INSERT into sc-18..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]

defines requirements for:

[a]	the acquisition of mobile code;

[b]	the development of mobile code;

[c]	the use of mobile code; and

[2]	ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code requirements

mobile code usage restrictions, mobile code implementation policy and procedures

acquisition documentation

acquisition contracts for information system, system component, or information system service

system development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing mobile code

organizational personnel with acquisition and contracting responsibilities

Assessment: TEST

Organizational processes for the acquisition, development, and use of mobile code

SC-18 (3) PREVENT DOWNLOADING / EXECUTION

Label: INSERT into sc-18..3.

Parameter: sc-18_prm_4 organization-defined unacceptable mobile code

Control

The information system prevents the download and execution of sc-18_prm_4 INSERT into sc-18..3. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if:

[1]	the organization defines unacceptable mobile code to be prevented from downloading and execution;

[2]

the information system prevents the:

[a]	download of organization-defined unacceptable mobile code; and

[b]	execution of organization-defined unacceptable mobile code.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage restrictions, mobile code implementation policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Automated mechanisms preventing download and execution of unacceptable mobile code

SC-18 (4) PREVENT AUTOMATIC EXECUTION

Label: INSERT into sc-18..4.

Parameter: sc-18_prm_5 organization-defined software applications

Label: INSERT into sc-18..4.

Parameter: sc-18_prm_6 organization-defined actions

Control

The information system prevents the automatic execution of mobile code in sc-18_prm_5 INSERT into sc-18..4. [NO PARAMETER VALUE GIVEN] and enforces sc-18_prm_6 INSERT into sc-18..4. [NO PARAMETER VALUE GIVEN] prior to executing the code.

Supplemental guidance

Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.

Objectives

Determine if:

[1]	the organization defines software applications in which the automatic execution of mobile code is to be prohibited;

[2]	the organization defines actions to be enforced by the information system prior to executing mobile code;

[3]	the information system prevents the automatic execution of mobile code in the organization-defined software applications; and

[4]	the information system enforces organization-defined actions prior to executing the code.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage restrictions

mobile code implementation policy and procedures

information system design documentation

information system configuration settings and associated documentation

list of software applications for which automatic execution of mobile code must be prohibited

list of actions required before execution of mobile code

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Automated mechanisms preventing automatic execution of unacceptable mobile code

automated mechanisms enforcing actions to be taken prior to the execution of the mobile code

SC-18 (5) ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS

Control

The organization allows execution of permitted mobile code only in confined virtual machine environments.

Objective

Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments.

Assessment: EXAMINE

System and communications protection policy

procedures addressing mobile code

mobile code usage allowances

mobile code usage restrictions

information system design documentation

information system configuration settings and associated documentation

list of confined virtual machine environments for which execution of organizationally-acceptable mobile code is allowed

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel with responsibilities for managing mobile code

Assessment: TEST

Automated mechanisms allowing execution of permitted mobile code in confined virtual machine environments

References

cf NIST Special Publication 800-28

cf DoD Instruction 8552.01

SC-19 VOICE OVER INTERNET PROTOCOL

Control

The organization:

a.	Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and

b.	Authorizes, monitors, and controls the use of VoIP within the information system.

Supplemental guidance

cf CM-6: CONFIGURATION SETTINGS

cf SC-7: BOUNDARY PROTECTION

cf SC-15: COLLABORATIVE COMPUTING DEVICES

Objectives

Determine if the organization:

(a)

[1]	establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

[2]	establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;

(b)

[1]	authorizes the use of VoIP within the information system;

[2]	monitors the use of VoIP within the information system; and

[3]	controls the use of VoIP within the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing VoIP

VoIP usage restrictions

VoIP implementation guidance

information system design documentation

information system configuration settings and associated documentation

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing VoIP

Assessment: TEST

Organizational process for authorizing, monitoring, and controlling VoIP

automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP

References

cf NIST Special Publication 800-58

SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

Control

The information system:

a.	Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and

b.	Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.

Supplemental guidance

This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.

cf AU-10: NON-REPUDIATION

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

Objectives

Determine if the information system:

(a)	provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;

(b)

provides the means to, when operating as part of a distributed, hierarchical namespace:

[1]	indicate the security status of child zones; and

[2]	enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).

Assessment: EXAMINE

System and communications protection policy

procedures addressing secure name/address resolution service (authoritative source)

information system design documentation

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing secure name/address resolution service

Control enhancements

SC-20 (1) CHILD SUBSPACES

cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

Control

Withdrawn: Incorporated into SC-20.

SC-20 (2) DATA ORIGIN / INTEGRITY

Control

The information system provides data origin and integrity protection artifacts for internal name/address resolution queries.

Objective

Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.

Assessment: EXAMINE

System and communications protection policy

procedures addressing secure name/address resolution service (authoritative source)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries

References

cf OMB Memorandum 08-23

cf NIST Special Publication 800-81

SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

Control

The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.

Supplemental guidance

Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.

cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

Objectives

Determine if the information system:

[1]	requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;

[2]	requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;

[3]	performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and

[4]	performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.

Assessment: EXAMINE

System and communications protection policy

procedures addressing secure name/address resolution service (recursive or caching resolver)

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services

Control enhancements

SC-21 (1) DATA ORIGIN / INTEGRITY

cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

Control

Withdrawn: Incorporated into SC-21.

References

cf NIST Special Publication 800-81

SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

Control

The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.

Supplemental guidance

Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).

cf SC-2: APPLICATION PARTITIONING

cf SC-20: SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

cf SC-21: SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

cf SC-24: FAIL IN KNOWN STATE

Objectives

Determine if the information systems that collectively provide name/address resolution service for an organization:

[1]	are fault tolerant; and

[2]	implement internal/external role separation.

Assessment: EXAMINE

System and communications protection policy

procedures addressing architecture and provisioning for name/address resolution service

access control policy and procedures

information system design documentation

assessment results from independent, testing organizations

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for managing DNS

Assessment: TEST

Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation

References

cf NIST Special Publication 800-81

SC-23 SESSION AUTHENTICITY

Control

The information system protects the authenticity of communications sessions.

Supplemental guidance

This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-10: NETWORK DISCONNECT

cf SC-11: TRUSTED PATH

Objective

Determine if the information system protects the authenticity of communications sessions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing session authenticity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing session authenticity

Control enhancements

SC-23 (1) INVALIDATE SESSION IDENTIFIERS AT LOGOUT

Control

The information system invalidates session identifiers upon user logout or other session termination.

Supplemental guidance

This control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.

Objective

Determine if the information system invalidates session identifiers upon user logout or other session termination.

Assessment: EXAMINE

System and communications protection policy

procedures addressing session authenticity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination

SC-23 (2) USER-INITIATED LOGOUTS / MESSAGE DISPLAYS

cf AC-12 (1): USER-INITIATED LOGOUTS / MESSAGE DISPLAYS

Control

Withdrawn: Incorporated into AC-12 (1).

SC-23 (3) UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION

Label: INSERT into sc-23..3.

Parameter: sc-23_prm_1 organization-defined randomness requirements

Control

The information system generates a unique session identifier for each session with sc-23_prm_1 INSERT into sc-23..3. [NO PARAMETER VALUE GIVEN] and recognizes only session identifiers that are system-generated.

Supplemental guidance

This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines randomness requirements for generating a unique session identifier for each session;

[2]	the information system generates a unique session identifier for each session with organization-defined randomness requirements; and

[3]	the information system recognizes only session identifiers that are system-generated.

Assessment: EXAMINE

System and communications protection policy

procedures addressing session authenticity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing generating and monitoring unique session identifiers

automated mechanisms supporting and/or implementing randomness requirements

SC-23 (4) UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION

cf SC-23 (3): UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION

Control

Withdrawn: Incorporated into SC-23 (3).

SC-23 (5) ALLOWED CERTIFICATE AUTHORITIES

Label: INSERT into sc-23..5.

Parameter: sc-23_prm_2 organization-defined certificate authorities

Control

The information system only allows the use of sc-23_prm_2 INSERT into sc-23..5. [NO PARAMETER VALUE GIVEN] for verification of the establishment of protected sessions.

Supplemental guidance

Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and

[2]	the information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.

Assessment: EXAMINE

System and communications protection policy

procedures addressing session authenticity

information system design documentation

information system configuration settings and associated documentation

list of certificate authorities allowed for verification of the establishment of protected sessions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing management of certificate authorities

References

cf NIST Special Publication 800-52

cf NIST Special Publication 800-77

cf NIST Special Publication 800-95

SC-24 FAIL IN KNOWN STATE

Label: INSERT into sc-24

Parameter: sc-24_prm_1 organization-defined known-state

Label: INSERT into sc-24

Parameter: sc-24_prm_2 organization-defined types of failures

Label: INSERT into sc-24

Parameter: sc-24_prm_3 organization-defined system state information

Control

The information system fails to a sc-24_prm_1 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] for sc-24_prm_2 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] preserving sc-24_prm_3 INSERT into sc-24 [NO PARAMETER VALUE GIVEN] in failure.

Supplemental guidance

Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.

cf CP-2: CONTINGENCY PLAN

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf CP-12: SAFE MODE

cf SC-7: BOUNDARY PROTECTION

cf SC-22: ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE

Objectives

Determine if:

[1]	the organization defines a known-state to which the information system is to fail in the event of a system failure;

[2]	the organization defines types of failures for which the information system is to fail to an organization-defined known-state;

[3]	the organization defines system state information to be preserved in the event of a system failure;

[4]	the information system fails to the organization-defined known-state for organization-defined types of failures; and

[5]	the information system preserves the organization-defined system state information in the event of a system failure.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information system failure to known state

information system design documentation

information system configuration settings and associated documentation

list of failures requiring information system to fail in a known state

state information to be preserved in system failure

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing fail-in-known state capability

automated mechanisms preserving system state information in the event of a system failure

References: None

SC-25 THIN NODES

Label: INSERT into sc-25

Parameter: sc-25_prm_1 organization-defined information system components

Control

The organization employs sc-25_prm_1 INSERT into sc-25 [NO PARAMETER VALUE GIVEN] with minimal functionality and information storage.

Supplemental guidance

The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.

cf SC-30: CONCEALMENT AND MISDIRECTION

Objectives

Determine if the organization:

[1]	defines information system components to be employed with minimal functionality and information storage; and

[2]	employs organization-defined information system components with minimal functionality and information storage.

Assessment: EXAMINE

System and communications protection policy

procedures addressing use of thin nodes

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing thin nodes

References: None

SC-26 HONEYPOTS

Control

The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.

Supplemental guidance

A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.

cf SC-30: CONCEALMENT AND MISDIRECTION

cf SC-44: DETONATION CHAMBERS

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objective

Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.

Assessment: EXAMINE

System and communications protection policy

procedures addressing use of honeypots

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing honey pots

Control enhancements

SC-26 (1) DETECTION OF MALICIOUS CODE

cf SC-35: HONEYCLIENTS

Control

Withdrawn: Incorporated into SC-35.

References: None

SC-27 PLATFORM-INDEPENDENT APPLICATIONS

Label: INSERT into sc-27

Parameter: sc-27_prm_1 organization-defined platform-independent applications

Control

The information system includes: sc-27_prm_1 INSERT into sc-27 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.

cf SC-29: HETEROGENEITY

Objectives

Determine if:

[1]	the organization defines platform-independent applications; and

[2]	the information system includes organization-defined platform-independent applications.

Assessment: EXAMINE

System and communications protection policy

procedures addressing platform-independent applications

information system design documentation

information system configuration settings and associated documentation

list of platform-independent applications

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing platform-independent applications

References: None

SC-28 PROTECTION OF INFORMATION AT REST

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

confidentiality

integrity

Label: INSERT into sc-28

Parameter: sc-28_prm_2 organization-defined information at rest

Control

The information system protects the sc-28_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } confidentiality integrity [NO PARAMETER VALUE GIVEN] of sc-28_prm_2 INSERT into sc-28 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.

cf AC-3: ACCESS ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf CA-7: CONTINUOUS MONITORING

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-6: CONFIGURATION SETTINGS

cf PE-3: PHYSICAL ACCESS CONTROL

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if:

[1]

the organization defines information at rest requiring one or more of the following:

[a]	confidentiality protection; and/or

[b]	integrity protection;

[2]

the information system protects:

[a]	the confidentiality of organization-defined information at rest; and/or

[b]	the integrity of organization-defined information at rest.

Assessment: EXAMINE

System and communications protection policy

procedures addressing protection of information at rest

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated configuration documentation

list of information at rest requiring confidentiality and integrity protections

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest

Control enhancements

SC-28 (1) CRYPTOGRAPHIC PROTECTION

Label: INSERT into sc-28..1.

Parameter: sc-28_prm_3 organization-defined information

Label: INSERT into sc-28..1.

Parameter: sc-28_prm_4 organization-defined information system components

Control

The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of sc-28_prm_3 INSERT into sc-28..1. [NO PARAMETER VALUE GIVEN] on sc-28_prm_4 INSERT into sc-28..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Objectives

Determine if:

[1]	the organization defines information requiring cryptographic protection;

[2]	the organization defines information system components with organization-defined information requiring cryptographic protection; and

[3]	the information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.

Assessment: EXAMINE

System and communications protection policy

procedures addressing protection of information at rest

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated configuration documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest

SC-28 (2) OFF-LINE STORAGE

Label: INSERT into sc-28..2.

Parameter: sc-28_prm_5 organization-defined information

Control

The organization removes from online storage and stores off-line in a secure location sc-28_prm_5 INSERT into sc-28..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.

Objectives

Determine if the organization:

[1]	defines information to be removed from online storage and stored off-line in a secure location; and

[2]	removes organization-defined information from online storage; and

[3]	stores such information off-line in a secure location.

Assessment: EXAMINE

System and communications protection policy

procedures addressing protection of information at rest

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated configuration documentation

off-line storage locations for information at rest

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing removal of information from online storage

automated mechanisms supporting and/or implementing storage of information off-line

References

cf NIST Special Publication 800-56

cf NIST Special Publication 800-57

cf NIST Special Publication 800-111

SC-29 HETEROGENEITY

Label: INSERT into sc-29

Parameter: sc-29_prm_1 organization-defined information system components

Control

The organization employs a diverse set of information technologies for sc-29_prm_1 INSERT into sc-29 [NO PARAMETER VALUE GIVEN] in the implementation of the information system.

Supplemental guidance

Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.

cf SA-12: SUPPLY CHAIN PROTECTION

cf SA-14: CRITICALITY ANALYSIS

cf SC-27: PLATFORM-INDEPENDENT APPLICATIONS

Objectives

Determine if the organization:

[1]	defines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and

[2]	employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.

Assessment: EXAMINE

System and communications protection policy

information system design documentation

information system configuration settings and associated documentation

list of technologies deployed in the information system

acquisition documentation

acquisition contracts for information system components or services

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with information system acquisition, development, and implementation responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies

Control enhancements

SC-29 (1) VIRTUALIZATION TECHNIQUES

Label: INSERT into sc-29..1.

Parameter: sc-29_prm_2 organization-defined frequency

Control

The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed sc-29_prm_2 INSERT into sc-29..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.

Objectives

Determine if the organization:

[1]	defines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and

[2]	employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.

Assessment: EXAMINE

System and communications protection policy

configuration management policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of operating systems and applications deployed using virtualization techniques

change control records

configuration management records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibilities for implementing approved virtualization techniques to the information system

Assessment: TEST

Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies

automated mechanisms supporting and/or implementing virtualization techniques

References: None

SC-30 CONCEALMENT AND MISDIRECTION

Label: INSERT into sc-30

Parameter: sc-30_prm_1 organization-defined concealment and misdirection techniques

Label: INSERT into sc-30

Parameter: sc-30_prm_2 organization-defined information systems

Label: INSERT into sc-30

Parameter: sc-30_prm_3 organization-defined time periods

Control

The organization employs sc-30_prm_1 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] for sc-30_prm_2 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] at sc-30_prm_3 INSERT into sc-30 [NO PARAMETER VALUE GIVEN] to confuse and mislead adversaries.

Supplemental guidance

Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.

cf SC-26: HONEYPOTS

cf SC-29: HETEROGENEITY

cf SI-14: NON-PERSISTENCE

Objectives

Determine if the organization:

[1]	defines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;

[2]	defines information systems for which organization-defined concealment and misdirection techniques are to be employed;

[3]	defines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and

[4]	employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.

Assessment: EXAMINE

System and communications protection policy

procedures addressing concealment and misdirection techniques for the information system

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of concealment and misdirection techniques to be employed for organizational information systems

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems

Assessment: TEST

Automated mechanisms supporting and/or implementing concealment and misdirection techniques

Control enhancements

SC-30 (1) VIRTUALIZATION TECHNIQUES

cf SC-29 (1): VIRTUALIZATION TECHNIQUES

Control

Withdrawn: Incorporated into SC-29 (1).

SC-30 (2) RANDOMNESS

Label: INSERT into sc-30..2.

Parameter: sc-30_prm_4 organization-defined techniques

Control

The organization employs sc-30_prm_4 INSERT into sc-30..2. [NO PARAMETER VALUE GIVEN] to introduce randomness into organizational operations and assets.

Supplemental guidance

Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.

Objectives

Determine if the organization:

[1]	defines techniques to be employed to introduce randomness into organizational operations and assets; and

[2]	employs organization-defined techniques to introduce randomness into organizational operations and assets.

Assessment: EXAMINE

System and communications protection policy

procedures addressing concealment and misdirection techniques for the information system

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of techniques to be employed to introduce randomness into organizational operations and assets

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems

Assessment: TEST

Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique

SC-30 (3) CHANGE PROCESSING / STORAGE LOCATIONS

Label: INSERT into sc-30..3.

Parameter: sc-30_prm_5 organization-defined processing and/or storage

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

sc-30_prm_7 INSERT into sc-30..3. [NO PARAMETER VALUE GIVEN]

at random time intervals

Label: INSERT into sc-30..3.

Parameter: sc-30_prm_7 organization-defined time frequency

Control

The organization changes the location of sc-30_prm_5 INSERT into sc-30..3. [NO PARAMETER VALUE GIVEN] sc-30_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } at random time intervals [NO PARAMETER VALUE GIVEN] ].

Supplemental guidance

Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.

Objectives

Determine if the organization:

[1]	defines processing and/or storage locations to be changed at time intervals specified by the organization;

[2]	defines a frequency to change the location of organization-defined processing and/or storage; and

[3]

changes the location of organization-defined processing and/or storage at one of the following:

[a]	organization-defined time intervals; or

[b]	random time intervals.

Assessment: EXAMINE

System and communications protection policy

configuration management policy and procedures

procedures addressing concealment and misdirection techniques for the information system

list of processing/storage locations to be changed at organizational time intervals

change control records

configuration management records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for changing processing and/or storage locations

Assessment: TEST

Automated mechanisms supporting and/or implementing changing processing and/or storage locations

SC-30 (4) MISLEADING INFORMATION

Label: INSERT into sc-30..4.

Parameter: sc-30_prm_8 organization-defined information system components

Control

The organization employs realistic, but misleading information in sc-30_prm_8 INSERT into sc-30..4. [NO PARAMETER VALUE GIVEN] with regard to its security state or posture.

Supplemental guidance

This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.

Objectives

Determine if the organization:

[1]	defines information system components in which to employ realistic, but misleading information regarding its security state or posture; and

[2]	employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.

Assessment: EXAMINE

System and communications protection policy

configuration management policy and procedures

procedures addressing concealment and misdirection techniques for the information system

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components

Assessment: TEST

Automated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components

SC-30 (5) CONCEALMENT OF SYSTEM COMPONENTS

Label: INSERT into sc-30..5.

Parameter: sc-30_prm_9 organization-defined techniques

Label: INSERT into sc-30..5.

Parameter: sc-30_prm_10 organization-defined information system components

Control

The organization employs sc-30_prm_9 INSERT into sc-30..5. [NO PARAMETER VALUE GIVEN] to hide or conceal sc-30_prm_10 INSERT into sc-30..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.

Objectives

Determine if the organization:

[1]	defines techniques to be employed to hide or conceal information system components;

[2]	defines information system components to be hidden or concealed using organization-defined techniques; and

[3]	employs organization-defined techniques to hide or conceal organization-defined information system components.

Assessment: EXAMINE

System and communications protection policy

configuration management policy and procedures

procedures addressing concealment and misdirection techniques for the information system

information system design documentation

information system configuration settings and associated documentation

list of techniques employed to hide or conceal information system components

list of information system components to be hidden or concealed

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with responsibility for concealment of system components

Assessment: TEST

Automated mechanisms supporting and/or implementing techniques for concealment of system components

References: None

SC-31 COVERT CHANNEL ANALYSIS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: sc-31_prm_1 Insertion into SC-31a.

storage

timing

Control

The organization:

a.	Performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert sc-31_prm_1 SELECT for { ancestor-or-self::*[@id][1]/@id } storage timing [NO PARAMETER VALUE GIVEN] channels; and

b.	Estimates the maximum bandwidth of those channels.

Supplemental guidance

Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf PL-2: SYSTEM SECURITY PLAN

Objectives

Determine if the organization:

(a)

performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:

[1]	covert storage channels; and/or

[2]	covert timing channels; and

(b)	estimates the maximum bandwidth of those channels.

Assessment: EXAMINE

System and communications protection policy

procedures addressing covert channel analysis

information system design documentation

information system configuration settings and associated documentation

covert channel analysis documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with covert channel analysis responsibilities

information system developers/integrators

Assessment: TEST

Organizational process for conducting covert channel analysis

automated mechanisms supporting and/or implementing covert channel analysis

automated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels

Control enhancements

SC-31 (1) TEST COVERT CHANNELS FOR EXPLOITABILITY

Control

The organization tests a subset of the identified covert channels to determine which channels are exploitable.

Objective

Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable.

Assessment: EXAMINE

System and communications protection policy

procedures addressing covert channel analysis

information system design documentation

information system configuration settings and associated documentation

list of covert channels

covert channel analysis documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with covert channel analysis responsibilities

Assessment: TEST

Organizational process for testing covert channels

automated mechanisms supporting and/or implementing testing of covert channels analysis

SC-31 (2) MAXIMUM BANDWIDTH

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

storage

timing

Label: INSERT into sc-31..2.

Parameter: sc-31_prm_3 organization-defined values

Control

The organization reduces the maximum bandwidth for identified covert sc-31_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } storage timing [NO PARAMETER VALUE GIVEN] channels to sc-31_prm_3 INSERT into sc-31..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.

Objectives

Determine if the organization:

[1]	defines values to be employed as the maximum bandwidth allowed for identified covert channels; and

[2]

reduces the maximum bandwidth to organization-defined values for one or more of the following identified:

[a]	covert storage channels; and/or

[b]	covert timing channels.

Assessment: EXAMINE

System and communications protection policy

procedures addressing covert channel analysis

acquisition contracts for information systems or services

acquisition documentation

information system design documentation

information system configuration settings and associated documentation

covert channel analysis documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with covert channel analysis responsibilities

information system developers/integrators

Assessment: TEST

Organizational process for conducting covert channel analysis

automated mechanisms supporting and/or implementing covert channel analysis

automated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels

SC-31 (3) MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS

Label: INSERT into sc-31..3.

Parameter: sc-31_prm_4 organization-defined subset of identified covert channels

Control

The organization measures the bandwidth of sc-31_prm_4 INSERT into sc-31..3. [NO PARAMETER VALUE GIVEN] in the operational environment of the information system.

Supplemental guidance

This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).

Objectives

Determine if the organization:

[1]	defines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and

[2]	measures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing covert channel analysis

information system design documentation

information system configuration settings and associated documentation

covert channel analysis documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel with covert channel analysis responsibilities

information system developers/integrators

Assessment: TEST

Organizational process for conducting covert channel analysis

automated mechanisms supporting and/or implementing covert channel analysis

automated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels

References: None

SC-32 INFORMATION SYSTEM PARTITIONING

Label: INSERT into sc-32

Parameter: sc-32_prm_1 organization-defined information system components

Label: INSERT into sc-32

Parameter: sc-32_prm_2 organization-defined circumstances for physical separation of components

Control

The organization partitions the information system into sc-32_prm_1 INSERT into sc-32 [NO PARAMETER VALUE GIVEN] residing in separate physical domains or environments based on sc-32_prm_2 INSERT into sc-32 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SC-2: APPLICATION PARTITIONING

cf SC-3: SECURITY FUNCTION ISOLATION

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

[1]	defines circumstances for physical separation of information system components into information system partitions;

[2]	defines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and

[3]	partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.

Assessment: EXAMINE

System and communications protection policy

procedures addressing information system partitioning

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of information system physical domains (or environments)

information system facility diagrams

information system network diagrams

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing physical separation of information system components

References

cf FIPS Publication 199

SC-33 TRANSMISSION PREPARATION INTEGRITY

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

Control

Withdrawn: Incorporated into SC-8.

References: None

SC-34 NON-MODIFIABLE EXECUTABLE PROGRAMS

Label: INSERT into sc-34

Parameter: sc-34_prm_1 organization-defined information system components

Label: INSERT into sc-34_smt_b (SC-34b.)

Parameter: sc-34_prm_2 organization-defined applications

Control

The information system at sc-34_prm_1 INSERT into sc-34 [NO PARAMETER VALUE GIVEN] :

a.	Loads and executes the operating environment from hardware-enforced, read-only media; and

b.	Loads and executes sc-34_prm_2 INSERT into sc-34_smt_b (SC-34b.) [NO PARAMETER VALUE GIVEN] from hardware-enforced, read-only media.

Supplemental guidance

The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.

cf AC-3: ACCESS ENFORCEMENT

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if:

[1]	the organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;

[2]	the organization defines applications to be loaded and executed from hardware-enforced, read-only media;

[3]

the information system, at organization-defined information system components:

(a)	loads and executes the operating environment from hardware-enforced, read-only media; and

(b)	loads and executes organization-defined applications from hardware-enforced, read-only media.

Assessment: EXAMINE

System and communications protection policy

procedures addressing non-modifiable executable programs

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of operating system components to be loaded from hardware-enforced, read-only media

list of applications to be loaded from hardware-enforced, read-only media

media used to load and execute information system operating environment

media used to load and execute information system applications

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media

automated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media

Control enhancements

SC-34 (1) NO WRITABLE STORAGE

Label: INSERT into sc-34..1.

Parameter: sc-34_prm_3 organization-defined information system components

Control

The organization employs sc-34_prm_3 INSERT into sc-34..1. [NO PARAMETER VALUE GIVEN] with no writeable storage that is persistent across component restart or power on/off.

Supplemental guidance

This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.

cf AC-19: ACCESS CONTROL FOR MOBILE DEVICES

cf MP-7: MEDIA USE

Objectives

Determine if the organization:

[1]	defines information system components to be employed with no writeable storage; and

[2]	employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.

Assessment: EXAMINE

System and communications protection policy

procedures addressing non-modifiable executable programs

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of information system components to be employed without writeable storage capability

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing employment of components with no writeable storage

automated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off

SC-34 (2) INTEGRITY PROTECTION / READ-ONLY MEDIA

Control

The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.

Supplemental guidance

Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.

cf AC-5: SEPARATION OF DUTIES

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-9: CONFIGURATION MANAGEMENT PLAN

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

cf MP-5: MEDIA TRANSPORT

cf SA-12: SUPPLY CHAIN PROTECTION

cf SC-28: PROTECTION OF INFORMATION AT REST

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if the organization:

[1]	protects the integrity of the information prior to storage on read-only media; and

[2]	controls the media after such information has been recorded onto the media.

Assessment: EXAMINE

System and communications protection policy

procedures addressing non-modifiable executable programs

information system design documentation

information system configuration settings and associated documentation

information system architecture

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media

SC-34 (3) HARDWARE-BASED PROTECTION

Label: INSERT into sc-34..3._smt_a (SC-34 (3)(a))

Parameter: sc-34_prm_4 organization-defined information system firmware components

Label: INSERT into sc-34..3._smt_b (SC-34 (3)(b))

Parameter: sc-34_prm_5 organization-defined authorized individuals

Control

The organization:

(a)	Employs hardware-based, write-protect for sc-34_prm_4 INSERT into sc-34..3._smt_a (SC-34 (3)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	Implements specific procedures for sc-34_prm_5 INSERT into sc-34..3._smt_b (SC-34 (3)(b)) [NO PARAMETER VALUE GIVEN] to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

Objectives

Determine if the organization:

(a)

[1]	defines information system firmware components for which hardware-based, write-protection is to be employed;

[2]	employs hardware-based, write-protection for organization-defined information system firmware components;

(b)

[1]	defines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and

[2]	implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.

Assessment: EXAMINE

System and communications protection policy

procedures addressing firmware modifications

information system design documentation

information system configuration settings and associated documentation

information system architecture

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Organizational processes for modifying firmware

automated mechanisms supporting and/or implementing hardware-based, write-protection for firmware

References: None

SC-35 HONEYCLIENTS

Control

The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.

Supplemental guidance

Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.

cf SC-26: HONEYPOTS

cf SC-44: DETONATION CHAMBERS

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objective

Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.

Assessment: EXAMINE

System and communications protection policy

procedures addressing honeyclients

information system design documentation

information system configuration settings and associated documentation

information system components deployed to identify malicious websites and/or web-based malicious code

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing honeyclients

References: None

SC-36 DISTRIBUTED PROCESSING AND STORAGE

Label: INSERT into sc-36

Parameter: sc-36_prm_1 organization-defined processing and storage

Control

The organization distributes sc-36_prm_1 INSERT into sc-36 [NO PARAMETER VALUE GIVEN] across multiple physical locations.

Supplemental guidance

Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.

cf CP-6: ALTERNATE STORAGE SITE

cf CP-7: ALTERNATE PROCESSING SITE

Objectives

Determine if the organization:

[1]	defines processing and storage to be distributed across multiple physical locations; and

[2]	distributes organization-defined processing and storage across multiple physical locations.

Assessment: EXAMINE

System and communications protection policy

contingency planning policy and procedures

contingency plan

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of information system physical locations (or environments) with distributed processing and storage

information system facility diagrams

processing site agreements

storage site agreements

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with contingency planning and plan implementation responsibilities

information system developers/integrators

Assessment: TEST

Organizational processes for distributing processing and storage across multiple physical locations

automated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations

Control enhancements

SC-36 (1) POLLING TECHNIQUES

Label: INSERT into sc-36..1.

Parameter: sc-36_prm_2 organization-defined distributed processing and storage components

Control

The organization employs polling techniques to identify potential faults, errors, or compromises to sc-36_prm_2 INSERT into sc-36..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and

[2]	employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.

Assessment: EXAMINE

System and communications protection policy

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of distributed processing and storage components subject to polling

information system polling techniques and associated documentation or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Automated mechanisms supporting and/or implementing polling techniques

References: None

SC-37 OUT-OF-BAND CHANNELS

Label: INSERT into sc-37

Parameter: sc-37_prm_1 organization-defined out-of-band channels

Label: INSERT into sc-37

Parameter: sc-37_prm_2 organization-defined information, information system components, or devices

Label: INSERT into sc-37

Parameter: sc-37_prm_3 organization-defined individuals or information systems

Control

The organization employs sc-37_prm_1 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] for the physical delivery or electronic transmission of sc-37_prm_2 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] to sc-37_prm_3 INSERT into sc-37 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.

cf AC-2: ACCOUNT MANAGEMENT

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-7: LEAST FUNCTIONALITY

cf IA-4: IDENTIFIER MANAGEMENT

cf IA-5: AUTHENTICATOR MANAGEMENT

cf MA-4: NONLOCAL MAINTENANCE

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

[1]	defines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;

[2]	defines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;

[3]	defines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and

[4]	employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.

Assessment: EXAMINE

System and communications protection policy

procedures addressing use of out-of-band channels

access control policy and procedures

identification and authentication policy and procedures

information system design documentation

information system architecture

information system configuration settings and associated documentation

list of out-of-band channels

types of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems

physical delivery records

electronic transmission records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels

information system developers/integrators

Assessment: TEST

Organizational processes for use of out-of-band channels

automated mechanisms supporting and/or implementing use of out-of-band channels

Control enhancements

SC-37 (1) ENSURE DELIVERY / TRANSMISSION

Label: INSERT into sc-37..1.

Parameter: sc-37_prm_4 organization-defined security safeguards

Label: INSERT into sc-37..1.

Parameter: sc-37_prm_5 organization-defined individuals or information systems

Label: INSERT into sc-37..1.

Parameter: sc-37_prm_6 organization-defined information, information system components, or devices

Control

The organization employs sc-37_prm_4 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] to ensure that only sc-37_prm_5 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] receive the sc-37_prm_6 INSERT into sc-37..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.

Objectives

Determine if the organization:

[1]	defines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;

[2]	defines individuals or information systems designated to receive specific information, information system components, or devices;

[3]	defines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and

[4]	employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.

Assessment: EXAMINE

System and communications protection policy

procedures addressing use of out-of-band channels

access control policy and procedures

identification and authentication policy and procedures

information system design documentation

information system architecture

information system configuration settings and associated documentation

list of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices

list of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems

list of information, information system components, or devices to be delivered to designated individuals or information systems

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels

information system developers/integrators

Assessment: TEST

Organizational processes for use of out-of-band channels

automated mechanisms supporting and/or implementing use of out-of-band channels

automated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices

References: None

SC-38 OPERATIONS SECURITY

Label: INSERT into sc-38

Parameter: sc-38_prm_1 organization-defined operations security safeguards

Control

The organization employs sc-38_prm_1 INSERT into sc-38 [NO PARAMETER VALUE GIVEN] to protect key organizational information throughout the system development life cycle.

Supplemental guidance

Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.

cf RA-2: SECURITY CATEGORIZATION

cf RA-5: VULNERABILITY SCANNING

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization:

[1]	defines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and

[2]	employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.

Assessment: EXAMINE

System and communications protection policy

procedures addressing operations security

security plan

list of operations security safeguards

security control assessments

risk assessments

threat and vulnerability assessments

plans of action and milestones

system development life cycle documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Organizational processes for protecting organizational information throughout the SDLC

automated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC

References: None

SC-39 PROCESS ISOLATION

Control

The information system maintains a separate execution domain for each executing process.

Supplemental guidance

Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-6: LEAST PRIVILEGE

cf SA-4: ACQUISITION PROCESS

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SC-2: APPLICATION PARTITIONING

cf SC-3: SECURITY FUNCTION ISOLATION

Objective

Determine if the information system maintains a separate execution domain for each executing process.

Assessment: EXAMINE

Information system design documentation

information system architecture

independent verification and validation documentation

testing and evaluation documentation, other relevant documents or records

Assessment: INTERVIEW

Information system developers/integrators

information system security architect

Assessment: TEST

Automated mechanisms supporting and/or implementing separate execution domains for each executing process

Control enhancements

SC-39 (1) HARDWARE SEPARATION

Control

The information system implements underlying hardware separation mechanisms to facilitate process separation.

Supplemental guidance

Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.

Objective

Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation.

Assessment: EXAMINE

System and communications protection policy

information system design documentation

information system configuration settings and associated documentation

information system architecture

information system documentation for hardware separation mechanisms

information system documentation from vendors, manufacturers or developers

independent verification and validation documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Information system capability implementing underlying hardware separation mechanisms for process separation

SC-39 (2) THREAD ISOLATION

Label: INSERT into sc-39..2.

Parameter: sc-39_prm_1 organization-defined multi-threaded processing

Control

The information system maintains a separate execution domain for each thread in sc-39_prm_1 INSERT into sc-39..2. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the information system:

[1]	defines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and

[2]	maintains a separate execution domain for each thread in organization-defined multi-threaded processing.

Assessment: EXAMINE

System and communications protection policy

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of information system execution domains for each thread in multi-threaded processing

information system documentation for multi-threaded processing

information system documentation from vendors, manufacturers or developers

independent verification and validation documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

information system developers/integrators

Assessment: TEST

Information system capability implementing a separate execution domain for each thread in multi-threaded processing

References: None

SC-40 WIRELESS LINK PROTECTION

Label: INSERT into sc-40

Parameter: sc-40_prm_1 organization-defined wireless links

Label: INSERT into sc-40

Parameter: sc-40_prm_2 organization-defined types of signal parameter attacks or references to sources for such attacks

Control

The information system protects external and internal sc-40_prm_1 INSERT into sc-40 [NO PARAMETER VALUE GIVEN] from sc-40_prm_2 INSERT into sc-40 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.

cf AC-18: WIRELESS ACCESS

cf SC-5: DENIAL OF SERVICE PROTECTION

Objectives

Determine if:

[1]

the organization defines:

[a]	internal wireless links to be protected from particular types of signal parameter attacks;

[b]	external wireless links to be protected from particular types of signal parameter attacks;

[2]	the organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and

[3]	the information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing wireless link protection

information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

list or internal and external wireless links

list of signal parameter attacks or references to sources for attacks

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links

Assessment: TEST

Automated mechanisms supporting and/or implementing protection of wireless links

Control enhancements

SC-40 (1) ELECTROMAGNETIC INTERFERENCE

Label: INSERT into sc-40..1.

Parameter: sc-40_prm_3 organization-defined level of protection

Control

The information system implements cryptographic mechanisms that achieve sc-40_prm_3 INSERT into sc-40..1. [NO PARAMETER VALUE GIVEN] against the effects of intentional electromagnetic interference.

Supplemental guidance

This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and

[2]	the information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing wireless link protection

information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

information system communications hardware and software

security categorization results

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links

Assessment: TEST

Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference

SC-40 (2) REDUCE DETECTION POTENTIAL

Label: INSERT into sc-40..2.

Parameter: sc-40_prm_4 organization-defined level of reduction

Control

The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to sc-40_prm_4 INSERT into sc-40..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and

[2]	the information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing wireless link protection

information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

information system communications hardware and software

security categorization results

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links

Assessment: TEST

Cryptographic mechanisms enforcing protections to reduce detection of wireless links

SC-40 (3) IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION

Control

The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

Supplemental guidance

This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the information system implements cryptographic mechanisms to:

[1]	identify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and

[2]	reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

information system communications hardware and software

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links

Assessment: TEST

Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception

SC-40 (4) SIGNAL PARAMETER IDENTIFICATION

Label: INSERT into sc-40..4.

Parameter: sc-40_prm_5 organization-defined wireless transmitters

Control

The information system implements cryptographic mechanisms to prevent the identification of sc-40_prm_5 INSERT into sc-40..4. [NO PARAMETER VALUE GIVEN] by using the transmitter signal parameters.

Supplemental guidance

Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if:

[1]	the organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and

[2]	the information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

information system communications hardware and software

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links

Assessment: TEST

Cryptographic mechanisms preventing the identification of wireless transmitters

References: None

SC-41 PORT AND I/O DEVICE ACCESS

Label: INSERT into sc-41

Parameter: sc-41_prm_1 organization-defined connection ports or input/output devices

Label: INSERT into sc-41

Parameter: sc-41_prm_2 organization-defined information systems or information system components

Control

The organization physically disables or removes sc-41_prm_1 INSERT into sc-41 [NO PARAMETER VALUE GIVEN] on sc-41_prm_2 INSERT into sc-41 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.

Objectives

Determine if the organization:

[1]	defines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;

[2]	defines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and

[3]	physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing port and input/output device access

information system design documentation

information system configuration settings and associated documentation

information system architecture

information systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

Assessment: TEST

Automated mechanisms supporting and/or implementing disabling of connection ports or input/output devices

References: None

SC-42 SENSOR CAPABILITY AND DATA

Label: INSERT into sc-42_smt_a (SC-42a.)

Parameter: sc-42_prm_1 organization-defined exceptions where remote activation of sensors is allowed

Label: INSERT into sc-42_smt_b (SC-42b.)

Parameter: sc-42_prm_2 organization-defined class of users

Control

The information system:

a.	Prohibits the remote activation of environmental sensing capabilities with the following exceptions: sc-42_prm_1 INSERT into sc-42_smt_a (SC-42a.) [NO PARAMETER VALUE GIVEN] ; and

b.	Provides an explicit indication of sensor use to sc-42_prm_2 INSERT into sc-42_smt_b (SC-42b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.

Objectives

Determine if:

(a)

[1]	the organization defines exceptions where remote activation of sensors is to be allowed;

[2]	the information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;

(b)

[1]	the organization defines the class of users to whom an explicit indication of sensor use is to be provided; and

[2]	the information system provides an explicit indication of sensor use to the organization-defined class of users.

Assessment: EXAMINE

System and communications protection policy

procedures addressing sensor capability and data collection

access control policy and procedures

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for sensor capability

Assessment: TEST

Automated mechanisms implementing access controls for remote activation of information system sensor capabilities

automated mechanisms implementing capability to indicate sensor use

Control enhancements

SC-42 (1) REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES

Label: INSERT into sc-42..1.

Parameter: sc-42_prm_3 organization-defined sensors

Control

The organization ensures that the information system is configured so that data or information collected by the sc-42_prm_3 INSERT into sc-42..1. [NO PARAMETER VALUE GIVEN] is only reported to authorized individuals or roles.

Supplemental guidance

In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.

Objectives

Determine if the organization:

[1]	defines sensors to be used to collect data or information only reported to authorized individuals or roles; and

[2]	ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing sensor capability and data collection

information system design documentation

information system configuration settings and associated documentation

information system architecture

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for sensor capability

Assessment: TEST

Automated mechanisms restricting reporting of sensor information only to those authorized

sensor data collection and reporting capability for the information system

SC-42 (2) AUTHORIZED USE

Label: INSERT into sc-42..2.

Parameter: sc-42_prm_4 organization-defined measures

Label: INSERT into sc-42..2.

Parameter: sc-42_prm_5 organization-defined sensors

Control

The organization employs the following measures: sc-42_prm_4 INSERT into sc-42..2. [NO PARAMETER VALUE GIVEN] , so that data or information collected by sc-42_prm_5 INSERT into sc-42..2. [NO PARAMETER VALUE GIVEN] is only used for authorized purposes.

Supplemental guidance

Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.

Objectives

Determine if the organization:

[1]	defines measures to be employed so that data or information collected by sensors is only used for authorized purposes;

[2]	defines sensors to be used to collect data or information for authorized purposes only; and

[3]	employs organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

sensor capability and data collection

information system design documentation

information system configuration settings and associated documentation

information system architecture

list of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for sensor capability

Assessment: TEST

Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes

sensor information collection capability for the information system

SC-42 (3) PROHIBIT USE OF DEVICES

Label: INSERT into sc-42..3.

Parameter: sc-42_prm_6 organization-defined environmental sensing capabilities

Label: INSERT into sc-42..3.

Parameter: sc-42_prm_7 organization-defined facilities, areas, or systems

Control

The organization prohibits the use of devices possessing sc-42_prm_6 INSERT into sc-42..3. [NO PARAMETER VALUE GIVEN] in sc-42_prm_7 INSERT into sc-42..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.

Objectives

Determine if the organization:

[1]	defines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;

[2]	defines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and

[3]	prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.

Assessment: EXAMINE

System and communications protection policy

access control policy and procedures

procedures addressing sensor capability and data collection

information system design documentation

wireless network diagrams

information system configuration settings and associated documentation

information system architecture

facilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited

list of devices possessing environmental sensing capabilities

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for sensor capability

References: None

SC-43 USAGE RESTRICTIONS

Label: INSERT into sc-43_smt_a (SC-43a.)

Parameter: sc-43_prm_1 organization-defined information system components

Control

The organization:

a.	Establishes usage restrictions and implementation guidance for sc-43_prm_1 INSERT into sc-43_smt_a (SC-43a.) [NO PARAMETER VALUE GIVEN] based on the potential to cause damage to the information system if used maliciously; and

b.	Authorizes, monitors, and controls the use of such components within the information system.

Supplemental guidance

Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).

cf CM-6: CONFIGURATION SETTINGS

cf SC-7: BOUNDARY PROTECTION

Objectives

Determine if the organization:

(a)

[1]	defines information system components for which usage restrictions and implementation guidance are to be established;

[2]

establishes, for organization-defined information system components:

[a]	usage restrictions based on the potential to cause damage to the information system if used maliciously;

[b]	implementation guidance based on the potential to cause damage to the information system if used maliciously;

(b)

[1]	authorizes the use of such components within the information system;

[2]	monitors the use of such components within the information system; and

[3]	controls the use of such components within the information system.

Assessment: EXAMINE

System and communications protection policy

procedures addressing usage restrictions

usage restrictions

implementation policy and procedures

authorization records

information system monitoring records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

Assessment: TEST

Organizational processes for authorizing, monitoring, and controlling use of components with usage restrictions

Automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions

References: None

SC-44 DETONATION CHAMBERS

Label: INSERT into sc-44

Parameter: sc-44_prm_1 organization-defined information system, system component, or location

Control

The organization employs a detonation chamber capability within sc-44_prm_1 INSERT into sc-44 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).

cf SC-7: BOUNDARY PROTECTION

cf SC-25: THIN NODES

cf SC-26: HONEYPOTS

cf SC-30: CONCEALMENT AND MISDIRECTION

Objectives

Determine if the organization:

[1]	defines information system, system component, or location where a detonation chamber capability is to be employed; and

[2]	employs a detonation chamber capability within organization-defined information system, system component, or location.

Assessment: EXAMINE

System and communications protection policy

procedures addressing detonation chambers

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

Assessment: TEST

Automated mechanisms supporting and/or implementing detonation chamber capability

References: None

SYSTEM AND INFORMATION INTEGRITY

SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES

Label: INSERT into si-1_smt_a (SI-1a.)

Parameter: si-1_prm_1 organization-defined personnel or roles

Label: INSERT into si-1_smt_b.1 (SI-1b.1.)

Parameter: si-1_prm_2 organization-defined frequency

Label: INSERT into si-1_smt_b.2 (SI-1b.2.)

Parameter: si-1_prm_3 organization-defined frequency

Control

The organization:

Develops, documents, and disseminates to si-1_prm_1 INSERT into si-1_smt_a (SI-1a.) [NO PARAMETER VALUE GIVEN] :

1.	A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2.	Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and

Reviews and updates the current:

1.	System and information integrity policy si-1_prm_2 INSERT into si-1_smt_b.1 (SI-1b.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	System and information integrity procedures si-1_prm_3 INSERT into si-1_smt_b.2 (SI-1b.2.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.

cf PM-9: RISK MANAGEMENT STRATEGY

Objectives

Determine if the organization:

(a)(1)

[1]

develops and documents a system and information integrity policy that addresses:

[a]

purpose;

[b]

scope;

[c]

roles;

[d]	responsibilities;

[e]	management commitment;

[f]	coordination among organizational entities;

[g]	compliance;

[2]	defines personnel or roles to whom the system and information integrity policy is to be disseminated;

[3]	disseminates the system and information integrity policy to organization-defined personnel or roles;

(a)(2)

[1]	develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;

[2]	defines personnel or roles to whom the procedures are to be disseminated;

[3]	disseminates the procedures to organization-defined personnel or roles;

(b)(1)

[1]	defines the frequency to review and update the current system and information integrity policy;

[2]	reviews and updates the current system and information integrity policy with the organization-defined frequency;

(b)(2)

[1]	defines the frequency to review and update the current system and information integrity procedures; and

[2]	reviews and updates the current system and information integrity procedures with the organization-defined frequency.

Assessment: EXAMINE

System and information integrity policy and procedures

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with system and information integrity responsibilities

organizational personnel with information security responsibilities

References

cf NIST Special Publication 800-12

cf NIST Special Publication 800-100

SI-2 FLAW REMEDIATION

Label: INSERT into si-2_smt_c (SI-2c.)

Parameter: si-2_prm_1 organization-defined time period

Control

The organization:

a.	Identifies, reports, and corrects information system flaws;

b.	Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

c.	Installs security-relevant software and firmware updates within si-2_prm_1 INSERT into si-2_smt_c (SI-2c.) [NO PARAMETER VALUE GIVEN] of the release of the updates; and

d.	Incorporates flaw remediation into the organizational configuration management process.

Supplemental guidance

Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

cf CM-8: INFORMATION SYSTEM COMPONENT INVENTORY

cf MA-2: CONTROLLED MAINTENANCE

cf IR-4: INCIDENT HANDLING

cf RA-5: VULNERABILITY SCANNING

cf SA-10: DEVELOPER CONFIGURATION MANAGEMENT

cf SA-11: DEVELOPER SECURITY TESTING AND EVALUATION

cf SI-11: ERROR HANDLING

Objectives

Determine if the organization:

(a)

[1]	identifies information system flaws;

[2]	reports information system flaws;

[3]	corrects information system flaws;

(b)

[1]	tests software updates related to flaw remediation for effectiveness and potential side effects before installation;

[2]	tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;

(c)

[1]	defines the time period within which to install security-relevant software updates after the release of the updates;

[2]	defines the time period within which to install security-relevant firmware updates after the release of the updates;

[3]	installs software updates within the organization-defined time period of the release of the updates;

[4]	installs firmware updates within the organization-defined time period of the release of the updates; and

(d)	incorporates flaw remediation into the organizational configuration management process.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

procedures addressing configuration management

list of flaws and vulnerabilities potentially affecting the information system

list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)

test results from the installation of software and firmware updates to correct information system flaws

installation/change control records for security-relevant software and firmware updates

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

organizational personnel with configuration management responsibility

Assessment: TEST

Organizational processes for identifying, reporting, and correcting information system flaws

organizational process for installing software and firmware updates

automated mechanisms supporting and/or implementing reporting, and correcting information system flaws

automated mechanisms supporting and/or implementing testing software and firmware updates

Control enhancements

SI-2 (1) CENTRAL MANAGEMENT

Control

The organization centrally manages the flaw remediation process.

Supplemental guidance

Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.

Objective

Determine if the organization centrally manages the flaw remediation process.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

automated mechanisms supporting centralized management of flaw remediation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

Assessment: TEST

Organizational processes for central management of the flaw remediation process

automated mechanisms supporting and/or implementing central management of the flaw remediation process

SI-2 (2) AUTOMATED FLAW REMEDIATION STATUS

Label: INSERT into si-2..2.

Parameter: si-2_prm_2 organization-defined frequency

Control

The organization employs automated mechanisms si-2_prm_2 INSERT into si-2..2. [NO PARAMETER VALUE GIVEN] to determine the state of information system components with regard to flaw remediation.

Supplemental guidance

cf CM-6: CONFIGURATION SETTINGS

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and

[2]	employs automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

automated mechanisms supporting centralized management of flaw remediation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

Assessment: TEST

Automated mechanisms used to determine the state of information system components with regard to flaw remediation

SI-2 (3) TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS

Label: INSERT into si-2..3._smt_b (SI-2 (3)(b))

Parameter: si-2_prm_3 organization-defined benchmarks

Control

The organization:

(a)	Measures the time between flaw identification and flaw remediation; and

(b)	Establishes si-2_prm_3 INSERT into si-2..3._smt_b (SI-2 (3)(b)) [NO PARAMETER VALUE GIVEN] for taking corrective actions.

Supplemental guidance

This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.

Objectives

Determine if the organization:

(a)	measures the time between flaw identification and flaw remediation;

(b)

[1]	defines benchmarks for taking corrective actions; and

[2]	establishes organization-defined benchmarks for taking corrective actions.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

information system design documentation

information system configuration settings and associated documentation

list of benchmarks for taking corrective action on flaws identified

records providing time stamps of flaw identification and subsequent flaw remediation activities

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

Assessment: TEST

Organizational processes for identifying, reporting, and correcting information system flaws

automated mechanisms used to measure the time between flaw identification and flaw remediation

SI-2 (4) AUTOMATED PATCH MANAGEMENT TOOLS

cf SI-2: FLAW REMEDIATION

Control

Withdrawn: Incorporated into SI-2.

SI-2 (5) AUTOMATIC SOFTWARE / FIRMWARE UPDATES

Label: INSERT into si-2..5.

Parameter: si-2_prm_4 organization-defined security-relevant software and firmware updates

Label: INSERT into si-2..5.

Parameter: si-2_prm_5 organization-defined information system components

Control

The organization installs si-2_prm_4 INSERT into si-2..5. [NO PARAMETER VALUE GIVEN] automatically to si-2_prm_5 INSERT into si-2..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.

Objectives

Determine if the organization:

[1]

[a]	defines information system components requiring security-relevant software updates to be automatically installed;

[b]	defines information system components requiring security-relevant firmware updates to be automatically installed;

[2]

[a]	defines security-relevant software updates to be automatically installed to organization-defined information system components;

[b]	defines security-relevant firmware updates to be automatically installed to organization-defined information system components;

[3]

[a]	installs organization-defined security-relevant software updates automatically to organization-defined information system components; and

[b]	installs organization-defined security-relevant firmware updates automatically to organization-defined information system components.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

automated mechanisms supporting flaw remediation and automatic software/firmware updates

information system design documentation

information system configuration settings and associated documentation

records of recent security-relevant software and firmware updates automatically installed to information system components

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

Assessment: TEST

Automated mechanisms implementing automatic software/firmware updates

SI-2 (6) REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE

Label: INSERT into si-2..6.

Parameter: si-2_prm_6 organization-defined software and firmware components

Control

The organization removes si-2_prm_6 INSERT into si-2..6. [NO PARAMETER VALUE GIVEN] after updated versions have been installed.

Supplemental guidance

Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.

Objectives

Determine if the organization:

[1]

[a]	defines software components to be removed after updated versions have been installed;

[b]	defines firmware components to be removed after updated versions have been installed;

[2]

[a]	removes organization-defined software components after updated versions have been installed; and

[b]	removes organization-defined firmware components after updated versions have been installed.

Assessment: EXAMINE

System and information integrity policy

procedures addressing flaw remediation

automated mechanisms supporting flaw remediation

information system design documentation

information system configuration settings and associated documentation

records of software and firmware component removals after updated versions are installed

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for flaw remediation

Assessment: TEST

Automated mechanisms supporting and/or implementing removal of previous versions of software/firmware

References

cf NIST Special Publication 800-40

cf NIST Special Publication 800-128

SI-3 MALICIOUS CODE PROTECTION

Label: INSERT into si-3_smt_c.1 (SI-3c.1.)

Parameter: si-3_prm_1 organization-defined frequency

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-3_prm_2 Insertion into SI-3c.1.

endpoint

network entry/exit points

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-3_prm_3 Insertion into SI-3c.2.

block malicious code

quarantine malicious code

send alert to administrator

si-3_prm_4 INSERT into si-3_smt_c.2 (SI-3c.2.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-3_smt_c.2 (SI-3c.2.)

Parameter: si-3_prm_4 organization-defined action

Control

The organization:

a.	Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;

b.	Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;

Configures malicious code protection mechanisms to:

Perform periodic scans of the information system si-3_prm_1 INSERT into si-3_smt_c.1 (SI-3c.1.) [NO PARAMETER VALUE GIVEN] and real-time scans of files from external sources at si-3_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } endpoint network entry/exit points [NO PARAMETER VALUE GIVEN] as the files are downloaded, opened, or executed in accordance with organizational security policy; and

2.	si-3_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } block malicious code quarantine malicious code send alert to administrator [NO PARAMETER VALUE GIVEN] in response to malicious code detection; and

d.	Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.

Supplemental guidance

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.

cf CM-3: CONFIGURATION CHANGE CONTROL

cf MP-2: MEDIA ACCESS

cf SA-4: ACQUISITION PROCESS

cf SA-8: SECURITY ENGINEERING PRINCIPLES

cf SA-12: SUPPLY CHAIN PROTECTION

cf SA-13: TRUSTWORTHINESS

cf SC-7: BOUNDARY PROTECTION

cf SC-26: HONEYPOTS

cf SC-44: DETONATION CHAMBERS

cf SI-2: FLAW REMEDIATION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)

employs malicious code protection mechanisms to detect and eradicate malicious code at information system:

[1]	entry points;

[2]	exit points;

(b)	updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);

(c)

[1]	defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;

[2]	defines action to be initiated by malicious protection mechanisms in response to malicious code detection;

[3]

(1)

configures malicious code protection mechanisms to:

[a]	perform periodic scans of the information system with the organization-defined frequency;

[b]	perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;

(2)

configures malicious code protection mechanisms to do one or more of the following:

[a]	block malicious code in response to malicious code detection;

[b]	quarantine malicious code in response to malicious code detection;

[c]	send alert to administrator in response to malicious code detection; and/or

[d]	initiate organization-defined action in response to malicious code detection;

(d)

[1]	addresses the receipt of false positives during malicious code detection and eradication; and

[2]	addresses the resulting potential impact on the availability of the information system.

Assessment: EXAMINE

System and information integrity policy

configuration management policy and procedures

procedures addressing malicious code protection

malicious code protection mechanisms

records of malicious code protection updates

information system design documentation

information system configuration settings and associated documentation

scan results from malicious code protection mechanisms

record of actions initiated by malicious code protection mechanisms in response to malicious code detection

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

organizational personnel with configuration management responsibility

Assessment: TEST

Organizational processes for employing, updating, and configuring malicious code protection mechanisms

organizational process for addressing false positives and resulting potential impact

automated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms

automated mechanisms supporting and/or implementing malicious code scanning and subsequent actions

Control enhancements

SI-3 (1) CENTRAL MANAGEMENT

Control

The organization centrally manages malicious code protection mechanisms.

Supplemental guidance

Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.

cf AU-2: AUDIT EVENTS

cf SI-8: SPAM PROTECTION

Objective

Determine if the organization centrally manages malicious code protection mechanisms.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

automated mechanisms supporting centralized management of malicious code protection mechanisms

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Organizational processes for central management of malicious code protection mechanisms

automated mechanisms supporting and/or implementing central management of malicious code protection mechanisms

SI-3 (2) AUTOMATIC UPDATES

Control

The information system automatically updates malicious code protection mechanisms.

Supplemental guidance

Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.

cf SI-8: SPAM PROTECTION

Objective

Determine if the information system automatically updates malicious code protection mechanisms.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

automated mechanisms supporting centralized management of malicious code protection mechanisms

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing automatic updates to malicious code protection capability

SI-3 (3) NON-PRIVILEGED USERS

cf AC-6 (10): PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

Control

Withdrawn: Incorporated into AC-6 (10).

SI-3 (4) UPDATES ONLY BY PRIVILEGED USERS

Control

The information system updates malicious code protection mechanisms only when directed by a privileged user.

Supplemental guidance

This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.

cf AC-6: LEAST PRIVILEGE

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

Objective

Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

information system design documentation

malicious code protection mechanisms

records of malicious code protection updates

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing malicious code protection capability

SI-3 (5) PORTABLE STORAGE DEVICES

cf MP-7: MEDIA USE

Control

Withdrawn: Incorporated into MP-7.

SI-3 (6) TESTING / VERIFICATION

Label: INSERT into si-3..6._smt_a (SI-3 (6)(a))

Parameter: si-3_prm_5 organization-defined frequency

Control

The organization:

(a)	Tests malicious code protection mechanisms si-3_prm_5 INSERT into si-3..6._smt_a (SI-3 (6)(a)) [NO PARAMETER VALUE GIVEN] by introducing a known benign, non-spreading test case into the information system; and

(b)	Verifies that both detection of the test case and associated incident reporting occur.

Supplemental guidance

cf CA-2: SECURITY ASSESSMENTS

cf CA-7: CONTINUOUS MONITORING

cf RA-5: VULNERABILITY SCANNING

Objectives

Determine if the organization:

(a)

[1]	defines a frequency to test malicious code protection mechanisms;

[2]	tests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;

(b)

[1]	verifies that detection of the test case occurs; and

[2]	verifies that associated incident reporting occurs.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

information system design documentation

information system configuration settings and associated documentation

test cases

records providing evidence of test cases executed on malicious code protection mechanisms

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing testing and verification of malicious code protection capability

SI-3 (7) NONSIGNATURE-BASED DETECTION

Control

The information system implements nonsignature-based malicious code detection mechanisms.

Supplemental guidance

Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.

Objective

Determine if the information system implements non signature-based malicious code detection mechanisms.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

information system design documentation

malicious code protection mechanisms

records of malicious code protection updates

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability

SI-3 (8) DETECT UNAUTHORIZED COMMANDS

Label: INSERT into si-3..8.

Parameter: si-3_prm_6 organization-defined unauthorized operating system commands

Label: INSERT into si-3..8.

Parameter: si-3_prm_7 organization-defined information system hardware components

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

issues a warning

audits the command execution

prevents the execution of the command

Control

The information system detects si-3_prm_6 INSERT into si-3..8. [NO PARAMETER VALUE GIVEN] through the kernel application programming interface at si-3_prm_7 INSERT into si-3..8. [NO PARAMETER VALUE GIVEN] and si-3_prm_8 SELECT for { ancestor-or-self::*[@id][1]/@id } issues a warning audits the command execution prevents the execution of the command [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objectives

Determine if:

[1]	the organization defines unauthorized operating system commands to be detected by the information system;

[2]	the organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;

[3]

the information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:

[a]	issues a warning;

[b]	audits the command execution; and/or

[c]	prevents the execution of the command.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

information system design documentation

malicious code protection mechanisms

warning messages sent upon detection of unauthorized operating system command execution

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing malicious code protection capability

automated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface

SI-3 (9) AUTHENTICATE REMOTE COMMANDS

Label: INSERT into si-3..9.

Parameter: si-3_prm_9 organization-defined security safeguards

Label: INSERT into si-3..9.

Parameter: si-3_prm_10 organization-defined remote commands

Control

The information system implements si-3_prm_9 INSERT into si-3..9. [NO PARAMETER VALUE GIVEN] to authenticate si-3_prm_10 INSERT into si-3..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.

cf SC-12: CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SC-23: SESSION AUTHENTICITY

Objectives

Determine if:

[1]	the organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;

[2]	the organization defines remote commands to be authenticated by organization-defined security safeguards; and

[3]	the information system implements organization-defined security safeguards to authenticate organization-defined remote commands.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

information system design documentation

malicious code protection mechanisms

warning messages sent upon detection of unauthorized operating system command execution

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

Assessment: TEST

Automated mechanisms supporting and/or implementing malicious code protection capability

automated mechanisms implementing authentication of remote commands

automated mechanisms supporting and/or implementing security safeguards to authenticate remote commands

SI-3 (10) MALICIOUS CODE ANALYSIS

Label: INSERT into si-3..10._smt_a (SI-3 (10)(a))

Parameter: si-3_prm_11 organization-defined tools and techniques

Control

The organization:

(a)	Employs si-3_prm_11 INSERT into si-3..10._smt_a (SI-3 (10)(a)) [NO PARAMETER VALUE GIVEN] to analyze the characteristics and behavior of malicious code; and

(b)	Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.

Supplemental guidance

The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.

Objectives

Determine if the organization:

(a)

[1]	defines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;

[2]	employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and

(b)	incorporates the results from malicious code analysis into incident response and flaw remediate processes.

Assessment: EXAMINE

System and information integrity policy

procedures addressing malicious code protection

procedures addressing incident response

procedures addressing flaw remediation

information system design documentation

malicious code protection mechanisms, tools, and techniques

information system configuration settings and associated documentation

results from malicious code analyses

records of flaw remediation events resulting from malicious code analyses

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for malicious code protection

organizational personnel responsible for flaw remediation

organizational personnel responsible for incident response/management

Assessment: TEST

Organizational process for incident response

organizational process for flaw remediation

automated mechanisms supporting and/or implementing malicious code protection capability

tools and techniques for analysis of malicious code characteristics and behavior

References

cf NIST Special Publication 800-83

SI-4 INFORMATION SYSTEM MONITORING

Label: INSERT into si-4_smt_a.1 (SI-4a.1.)

Parameter: si-4_prm_1 organization-defined monitoring objectives

Label: INSERT into si-4_smt_b (SI-4b.)

Parameter: si-4_prm_2 organization-defined techniques and methods

Label: INSERT into si-4_smt_g (SI-4g.)

Parameter: si-4_prm_3 organization-defined information system monitoring information

Label: INSERT into si-4_smt_g (SI-4g.)

Parameter: si-4_prm_4 organization-defined personnel or roles

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-4_prm_5 Insertion into SI-4g.

as needed

si-4_prm_6 INSERT into si-4_smt_g (SI-4g.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-4_smt_g (SI-4g.)

Parameter: si-4_prm_6 organization-defined frequency

Control

The organization:

Monitors the information system to detect:

1.	Attacks and indicators of potential attacks in accordance with si-4_prm_1 INSERT into si-4_smt_a.1 (SI-4a.1.) [NO PARAMETER VALUE GIVEN] ; and

2.	Unauthorized local, network, and remote connections;

b.	Identifies unauthorized use of the information system through si-4_prm_2 INSERT into si-4_smt_b (SI-4b.) [NO PARAMETER VALUE GIVEN] ;

Deploys monitoring devices:

1.	Strategically within the information system to collect organization-determined essential information; and

2.	At ad hoc locations within the system to track specific types of transactions of interest to the organization;

d.	Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;

Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

f.	Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and

g.	Provides si-4_prm_3 INSERT into si-4_smt_g (SI-4g.) [NO PARAMETER VALUE GIVEN] to si-4_prm_4 INSERT into si-4_smt_g (SI-4g.) [NO PARAMETER VALUE GIVEN] si-4_prm_5 SELECT for { ancestor-or-self::*[@id][1]/@id } as needed [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.

cf AC-3: ACCESS ENFORCEMENT

cf AC-4: INFORMATION FLOW ENFORCEMENT

cf AC-8: SYSTEM USE NOTIFICATION

cf AC-17: REMOTE ACCESS

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf AU-9: PROTECTION OF AUDIT INFORMATION

cf AU-12: AUDIT GENERATION

cf CA-7: CONTINUOUS MONITORING

cf IR-4: INCIDENT HANDLING

cf PE-3: PHYSICAL ACCESS CONTROL

cf RA-5: VULNERABILITY SCANNING

cf SC-7: BOUNDARY PROTECTION

cf SC-26: HONEYPOTS

cf SC-35: HONEYCLIENTS

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objectives

Determine if the organization:

(a)

(1)

[1]	defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;

[2]

monitors the information system to detect, in accordance with organization-defined monitoring objectives,:

[a]

attacks;

[b]	indicators of potential attacks;

(2)

monitors the information system to detect unauthorized:

[1]	local connections;

[2]	network connections;

[3]	remote connections;

(b)

(1)	defines techniques and methods to identify unauthorized use of the information system;

(2)	identifies unauthorized use of the information system through organization-defined techniques and methods;

(c)

deploys monitoring devices:

[1]	strategically within the information system to collect organization-determined essential information;

[2]	at ad hoc locations within the system to track specific types of transactions of interest to the organization;

(d)

protects information obtained from intrusion-monitoring tools from unauthorized:

[1]

access;

[2]	modification;

[3]

deletion;

(e)

heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;

(f)	obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;

(g)

[1]	defines personnel or roles to whom information system monitoring information is to be provided;

[2]	defines information system monitoring information to be provided to organization-defined personnel or roles;

[3]	defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;

[4]

provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:

[a]	as needed; and/or

[b]	with the organization-defined frequency.

Assessment: EXAMINE

Continuous monitoring strategy

system and information integrity policy

procedures addressing information system monitoring tools and techniques

facility diagram/layout

information system design documentation

information system monitoring tools and techniques documentation

locations within information system where monitoring devices are deployed

information system configuration settings and associated documentation

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing information system monitoring capability

Control enhancements

SI-4 (1) SYSTEM-WIDE INTRUSION DETECTION SYSTEM

Control

The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.

Objectives

Determine if the organization:

[1]	connects individual intrusion detection tools into an information system-wide intrusion detection system; and

[2]	configures individual intrusion detection tools into an information system-wide intrusion detection system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection capability

SI-4 (2) AUTOMATED TOOLS FOR REAL-TIME ANALYSIS

Control

The organization employs automated tools to support near real-time analysis of events.

Supplemental guidance

Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.

Objective

Determine if the organization employs automated tools to support near real-time analysis of events.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for incident response/management

Assessment: TEST

Organizational processes for near real-time analysis of events

organizational processes for information system monitoring

automated mechanisms supporting and/or implementing information system monitoring

automated mechanisms/tools supporting and/or implementing analysis of events

SI-4 (3) AUTOMATED TOOL INTEGRATION

Control

The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.

Objectives

Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:

[1]	access control mechanisms; and

[2]	flow control mechanisms.

Assessment: EXAMINE

System and information integrity policy

access control policy and procedures

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms/tools supporting and/or implementing access/flow control capability

automated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms

SI-4 (4) INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC

Label: INSERT into si-4..4.

Parameter: si-4_prm_7 organization-defined frequency

Control

The information system monitors inbound and outbound communications traffic si-4_prm_7 INSERT into si-4..4. [NO PARAMETER VALUE GIVEN] for unusual or unauthorized activities or conditions.

Supplemental guidance

Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.

Objectives

Determine if the organization:

[1]

defines a frequency to monitor:

[a]	inbound communications traffic for unusual or unauthorized activities or conditions;

[b]	outbound communications traffic for unusual or unauthorized activities or conditions;

[2]

monitors, with the organization-defined frequency:

[a]	inbound communications traffic for unusual or unauthorized activities or conditions; and

[b]	outbound communications traffic for unusual or unauthorized activities or conditions.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system protocols

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring

automated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic

SI-4 (5) SYSTEM-GENERATED ALERTS

Label: INSERT into si-4..5.

Parameter: si-4_prm_8 organization-defined personnel or roles

Label: INSERT into si-4..5.

Parameter: si-4_prm_9 organization-defined compromise indicators

Control

The information system alerts si-4_prm_8 INSERT into si-4..5. [NO PARAMETER VALUE GIVEN] when the following indications of compromise or potential compromise occur: si-4_prm_9 INSERT into si-4..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf PE-6: MONITORING PHYSICAL ACCESS

Objectives

Determine if:

[1]	the organization defines compromise indicators for the information system;

[2]	the organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and

[3]	the information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

alerts/notifications generated based on compromise indicators

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing alerts for compromise indicators

SI-4 (6) RESTRICT NON-PRIVILEGED USERS

cf AC-6 (10): PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

Control

Withdrawn: Incorporated into AC-6 (10).

SI-4 (7) AUTOMATED RESPONSE TO SUSPICIOUS EVENTS

Label: INSERT into si-4..7.

Parameter: si-4_prm_10 organization-defined incident response personnel (identified by name and/or by role)

Label: INSERT into si-4..7.

Parameter: si-4_prm_11 organization-defined least-disruptive actions to terminate suspicious events

Control

The information system notifies si-4_prm_10 INSERT into si-4..7. [NO PARAMETER VALUE GIVEN] of detected suspicious events and takes si-4_prm_11 INSERT into si-4..7. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Least-disruptive actions may include, for example, initiating requests for human responses.

Objectives

Determine if:

[1]	the organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;

[2]	the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;

[3]	the information system notifies organization-defined incident response personnel of detected suspicious events; and

[4]	the information system takes organization-defined least-disruptive actions to terminate suspicious events.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

alerts/notifications generated based on detected suspicious events

records of actions taken to terminate suspicious events

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing notifications to incident response personnel

automated mechanisms supporting and/or implementing actions to terminate suspicious events

SI-4 (8) PROTECTION OF MONITORING INFORMATION

cf SI-4: INFORMATION SYSTEM MONITORING

Control

Withdrawn: Incorporated into SI-4.

SI-4 (9) TESTING OF MONITORING TOOLS

Label: INSERT into si-4..9.

Parameter: si-4_prm_12 organization-defined frequency

Control

The organization tests intrusion-monitoring tools si-4_prm_12 INSERT into si-4..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.

cf CP-9: INFORMATION SYSTEM BACKUP

Objectives

Determine if the organization:

[1]	defines a frequency to test intrusion-monitoring tools; and

[2]	tests intrusion-monitoring tools with the organization-defined frequency.

Assessment: EXAMINE

System and information integrity policy

procedures addressing testing of information system monitoring tools and techniques

documentation providing evidence of testing intrusion-monitoring tools

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing testing of intrusion-monitoring tools

SI-4 (10) VISIBILITY OF ENCRYPTED COMMUNICATIONS

Label: INSERT into si-4..10.

Parameter: si-4_prm_13 organization-defined encrypted communications traffic

Label: INSERT into si-4..10.

Parameter: si-4_prm_14 organization-defined information system monitoring tools

Control

The organization makes provisions so that si-4_prm_13 INSERT into si-4..10. [NO PARAMETER VALUE GIVEN] is visible to si-4_prm_14 INSERT into si-4..10. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.

Objectives

Determine if the organization:

[1]	defines encrypted communications traffic required to be visible to information system monitoring tools;

[2]	defines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and

[3]	makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system protocols

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools

SI-4 (11) ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES

Label: INSERT into si-4..11.

Parameter: si-4_prm_15 organization-defined interior points within the system (e.g., subnetworks, subsystems)

Control

The organization analyzes outbound communications traffic at the external boundary of the information system and selected si-4_prm_15 INSERT into si-4..11. [NO PARAMETER VALUE GIVEN] to discover anomalies.

Supplemental guidance

Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.

Objectives

Determine if the organization:

[1]	defines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;

[2]

analyzes outbound communications traffic to discover anomalies at:

[a]	the external boundary of the information system; and

[b]	selected organization-defined interior points within the system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

network diagram

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing analysis of communications traffic

SI-4 (12) AUTOMATED ALERTS

Label: INSERT into si-4..12.

Parameter: si-4_prm_16 organization-defined activities that trigger alerts

Control

The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: si-4_prm_16 INSERT into si-4..12. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).

cf AC-18: WIRELESS ACCESS

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

Objectives

Determine if the organization:

[1]	defines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and

[2]	employs automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

list of inappropriate or unusual activities (with security implications) that trigger alerts

alerts/notifications provided to security personnel

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developers

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing automated alerts to security personnel

SI-4 (13) ANALYZE TRAFFIC / EVENT PATTERNS

Control

The organization:

(a)	Analyzes communications traffic/event patterns for the information system;

(b)	Develops profiles representing common traffic patterns and/or events; and

(c)	Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.

Objectives

Determine if the organization:

(a)	analyzes communications traffic/event patterns for the information system;

(b)	develops profiles representing common traffic patterns and/or events;

(c)	uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

list of profiles representing common traffic patterns and/or events

information system protocols documentation

list of acceptable thresholds for false positives and false negatives

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing analysis of communications traffic/event patterns

SI-4 (14) WIRELESS INTRUSION DETECTION

Control

The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.

Supplemental guidance

Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.

cf AC-18: WIRELESS ACCESS

cf IA-3: DEVICE IDENTIFICATION AND AUTHENTICATION

Objectives

Determine if the organization employs a wireless intrusion detection system to:

[1]	identify rogue wireless devices;

[2]	detect attack attempts to the information system; and

[3]	detect potential compromises/breaches to the information system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system protocols

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection

automated mechanisms supporting and/or implementing wireless intrusion detection capability

SI-4 (15) WIRELESS TO WIRELINE COMMUNICATIONS

Control

The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

Supplemental guidance

cf AC-18: WIRELESS ACCESS

Objective

Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system protocols documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing wireless intrusion detection capability

SI-4 (16) CORRELATE MONITORING INFORMATION

Control

The organization correlates information from monitoring tools employed throughout the information system.

Supplemental guidance

Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

Objective

Determine if the organization correlates information from monitoring tools employed throughout the information system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

event correlation logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability

automated mechanisms supporting and/or implementing correlation of information from monitoring tools

SI-4 (17) INTEGRATED SITUATIONAL AWARENESS

Control

The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.

Supplemental guidance

This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.

cf SA-12: SUPPLY CHAIN PROTECTION

Objectives

Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:

[1]	physical activities;

[2]	cyber activities; and

[3]	supply chain activities.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

event correlation logs or records resulting from physical, cyber, and supply chain activities

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability

automated mechanisms supporting and/or implementing correlation of information from monitoring tools

SI-4 (18) ANALYZE TRAFFIC / COVERT EXFILTRATION

Label: INSERT into si-4..18.

Parameter: si-4_prm_17 organization-defined interior points within the system (e.g., subsystems, subnetworks)

Control

The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at si-4_prm_17 INSERT into si-4..18. [NO PARAMETER VALUE GIVEN] to detect covert exfiltration of information.

Supplemental guidance

Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.

Objectives

Determine if the organization:

[1]	defines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;

[2]

to detect covert exfiltration of information, analyzes outbound communications traffic at:

[a]	the external boundary of the information system (i.e., system perimeter); and

[b]	organization-defined interior points within the system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

network diagram

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

organizational personnel with responsibility for the intrusion detection system

Assessment: TEST

Organizational processes for intrusion detection/information system monitoring

automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability

automated mechanisms supporting and/or implementing analysis of outbound communications traffic

SI-4 (19) INDIVIDUALS POSING GREATER RISK

Label: INSERT into si-4..19.

Parameter: si-4_prm_18 organization-defined additional monitoring

Label: INSERT into si-4..19.

Parameter: si-4_prm_19 organization-defined sources

Control

The organization implements si-4_prm_18 INSERT into si-4..19. [NO PARAMETER VALUE GIVEN] of individuals who have been identified by si-4_prm_19 INSERT into si-4..19. [NO PARAMETER VALUE GIVEN] as posing an increased level of risk.

Supplemental guidance

Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.

Objectives

Determine if the organization:

[1]	defines sources that identify individuals who pose an increased level of risk;

[2]	defines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and

[3]	implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring

information system design documentation

list of individuals who have been identified as posing an increased level of risk

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing system monitoring capability

SI-4 (20) PRIVILEGED USERS

Label: INSERT into si-4..20.

Parameter: si-4_prm_20 organization-defined additional monitoring

Control

The organization implements si-4_prm_20 INSERT into si-4..20. [NO PARAMETER VALUE GIVEN] of privileged users.

Objectives

Determine if the organization:

[1]	defines additional monitoring to be implemented on privileged users; and

[2]	implements organization-defined additional monitoring of privileged users;

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

list of privileged users

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing system monitoring capability

SI-4 (21) PROBATIONARY PERIODS

Label: INSERT into si-4..21.

Parameter: si-4_prm_21 organization-defined additional monitoring

Label: INSERT into si-4..21.

Parameter: si-4_prm_22 organization-defined probationary period

Control

The organization implements si-4_prm_21 INSERT into si-4..21. [NO PARAMETER VALUE GIVEN] of individuals during si-4_prm_22 INSERT into si-4..21. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines additional monitoring to be implemented on individuals during probationary periods;

[2]	defines probationary period during which organization-defined additional monitoring of individuals is to be performed; and

[3]	implements organization-defined additional monitoring of individuals during organization-defined probationary period.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing system monitoring capability

SI-4 (22) UNAUTHORIZED NETWORK SERVICES

Label: INSERT into si-4..22.

Parameter: si-4_prm_23 organization-defined authorization or approval processes

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

audits

alerts si-4_prm_25 INSERT into si-4..22. [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-4..22.

Parameter: si-4_prm_25 organization-defined personnel or roles

Control

The information system detects network services that have not been authorized or approved by si-4_prm_23 INSERT into si-4..22. [NO PARAMETER VALUE GIVEN] and si-4_prm_24 SELECT for { ancestor-or-self::*[@id][1]/@id } audits alerts [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.

cf AC-6: LEAST PRIVILEGE

cf CM-7: LEAST FUNCTIONALITY

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

cf SA-9: EXTERNAL INFORMATION SYSTEM SERVICES

Objectives

Determine if:

[1]	the organization defines authorization or approval processes for network services;

[2]	the organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;

[3]

the information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:

[a]	audits; and/or

[b]	alerts organization-defined personnel or roles.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

documented authorization/approval of network services

notifications or alerts of unauthorized network services

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring the information system

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing system monitoring capability

automated mechanisms for auditing network services

automated mechanisms for providing alerts

SI-4 (23) HOST-BASED DEVICES

Label: INSERT into si-4..23.

Parameter: si-4_prm_26 organization-defined host-based monitoring mechanisms

Label: INSERT into si-4..23.

Parameter: si-4_prm_27 organization-defined information system components

Control

The organization implements si-4_prm_26 INSERT into si-4..23. [NO PARAMETER VALUE GIVEN] at si-4_prm_27 INSERT into si-4..23. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.

Objectives

Determine if the organization:

[1]	defines host-based monitoring mechanisms to be implemented;

[2]	defines information system components where organization-defined host-based monitoring is to be implemented; and

[3]	implements organization-defined host-based monitoring mechanisms at organization-defined information system components.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring tools and techniques

information system design documentation

host-based monitoring mechanisms

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

list of information system components requiring host-based monitoring

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring information system hosts

Assessment: TEST

Organizational processes for information system monitoring

automated mechanisms supporting and/or implementing host-based monitoring capability

SI-4 (24) INDICATORS OF COMPROMISE

Control

The information system discovers, collects, distributes, and uses indicators of compromise.

Supplemental guidance

Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.

Objectives

Determine if the information system:

[1]	discovers indicators of compromise;

[2]	collects indicators of compromise;

[3]	distributes indicators of compromise; and

[4]	uses indicators of compromise.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system monitoring

information system design documentation

information system monitoring tools and techniques documentation

information system configuration settings and associated documentation

information system monitoring logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

System/network administrators

organizational personnel with information security responsibilities

system developer

organizational personnel installing, configuring, and/or maintaining the information system

organizational personnel with responsibility for monitoring information system hosts

Assessment: TEST

Organizational processes for information system monitoring

organizational processes for discovery, collection, distribution, and use of indicators of compromise

automated mechanisms supporting and/or implementing system monitoring capability

automated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise

References

cf NIST Special Publication 800-61

cf NIST Special Publication 800-83

cf NIST Special Publication 800-92

cf NIST Special Publication 800-94

cf NIST Special Publication 800-137

SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Label: INSERT into si-5_smt_a (SI-5a.)

Parameter: si-5_prm_1 organization-defined external organizations

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-5_prm_2 Insertion into SI-5c.

si-5_prm_3 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]

si-5_prm_4 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]

si-5_prm_5 INSERT into si-5_smt_c (SI-5c.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-5_smt_c (SI-5c.)

Parameter: si-5_prm_3 organization-defined personnel or roles

Label: INSERT into si-5_smt_c (SI-5c.)

Parameter: si-5_prm_4 organization-defined elements within the organization

Label: INSERT into si-5_smt_c (SI-5c.)

Parameter: si-5_prm_5 organization-defined external organizations

Control

The organization:

a.	Receives information system security alerts, advisories, and directives from si-5_prm_1 INSERT into si-5_smt_a (SI-5a.) [NO PARAMETER VALUE GIVEN] on an ongoing basis;

b.	Generates internal security alerts, advisories, and directives as deemed necessary;

c.	Disseminates security alerts, advisories, and directives to: si-5_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } [NO PARAMETER VALUE GIVEN] ; and

d.	Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.

Supplemental guidance

The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.

cf SI-2: FLAW REMEDIATION

Objectives

Determine if the organization:

(a)

[1]	defines external organizations from whom information system security alerts, advisories and directives are to be received;

[2]	receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;

(b)	generates internal security alerts, advisories, and directives as deemed necessary;

(c)

[1]	defines personnel or roles to whom security alerts, advisories, and directives are to be provided;

[2]	defines elements within the organization to whom security alerts, advisories, and directives are to be provided;

[3]	defines external organizations to whom security alerts, advisories, and directives are to be provided;

[4]

disseminates security alerts, advisories, and directives to one or more of the following:

[a]	organization-defined personnel or roles;

[b]	organization-defined elements within the organization; and/or

[c]	organization-defined external organizations; and

(d)

[1]	implements security directives in accordance with established time frames; or

[2]	notifies the issuing organization of the degree of noncompliance.

Assessment: EXAMINE

System and information integrity policy

procedures addressing security alerts, advisories, and directives

records of security alerts and advisories

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security alert and advisory responsibilities

organizational personnel implementing, operating, maintaining, and using the information system

organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives

automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives

automated mechanisms supporting and/or implementing security directives

Control enhancements

SI-5 (1) AUTOMATED ALERTS AND ADVISORIES

Control

The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.

Supplemental guidance

The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.

Objective

Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.

Assessment: EXAMINE

System and information integrity policy

procedures addressing security alerts, advisories, and directives

information system design documentation

information system configuration settings and associated documentation

automated mechanisms supporting the distribution of security alert and advisory information

records of security alerts and advisories

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security alert and advisory responsibilities

organizational personnel implementing, operating, maintaining, and using the information system

organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories

automated mechanisms supporting and/or implementing dissemination of security alerts and advisories

References

cf NIST Special Publication 800-40

SI-6 SECURITY FUNCTION VERIFICATION

Label: INSERT into si-6_smt_a (SI-6a.)

Parameter: si-6_prm_1 organization-defined security functions

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-6_prm_2 Insertion into SI-6b.

si-6_prm_3 INSERT into si-6_smt_b (SI-6b.) [NO PARAMETER VALUE GIVEN]

upon command by user with appropriate privilege

si-6_prm_4 INSERT into si-6_smt_b (SI-6b.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-6_smt_b (SI-6b.)

Parameter: si-6_prm_3 organization-defined system transitional states

Label: INSERT into si-6_smt_b (SI-6b.)

Parameter: si-6_prm_4 organization-defined frequency

Label: INSERT into si-6_smt_c (SI-6c.)

Parameter: si-6_prm_5 organization-defined personnel or roles

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-6_prm_6 Insertion into SI-6d.

shuts the information system down

restarts the information system

si-6_prm_7 INSERT into si-6_smt_d (SI-6d.) [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-6_smt_d (SI-6d.)

Parameter: si-6_prm_7 organization-defined alternative action(s)

Control

The information system:

a.	Verifies the correct operation of si-6_prm_1 INSERT into si-6_smt_a (SI-6a.) [NO PARAMETER VALUE GIVEN] ;

b.	Performs this verification si-6_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } upon command by user with appropriate privilege [NO PARAMETER VALUE GIVEN] ;

c.	Notifies si-6_prm_5 INSERT into si-6_smt_c (SI-6c.) [NO PARAMETER VALUE GIVEN] of failed security verification tests; and

d.	si-6_prm_6 SELECT for { ancestor-or-self::*[@id][1]/@id } shuts the information system down restarts the information system [NO PARAMETER VALUE GIVEN] when anomalies are discovered.

Supplemental guidance

Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.

cf CA-7: CONTINUOUS MONITORING

cf CM-6: CONFIGURATION SETTINGS

Objectives

Determine if:

(a)

[1]	the organization defines security functions to be verified for correct operation;

[2]	the information system verifies the correct operation of organization-defined security functions;

(b)

[1]	the organization defines system transitional states requiring verification of organization-defined security functions;

[2]	the organization defines a frequency to verify the correct operation of organization-defined security functions;

[3]

the information system performs this verification one or more of the following:

[a]	at organization-defined system transitional states;

[b]	upon command by user with appropriate privilege; and/or

[c]	with the organization-defined frequency;

(c)

[1]	the organization defines personnel or roles to be notified of failed security verification tests;

[2]	the information system notifies organization-defined personnel or roles of failed security verification tests;

(d)

[1]	the organization defines alternative action(s) to be performed when anomalies are discovered;

[2]

the information system performs one or more of the following actions when anomalies are discovered:

[a]	shuts the information system down;

[b]	restarts the information system; and/or

[c]	performs organization-defined alternative action(s).

Assessment: EXAMINE

System and information integrity policy

procedures addressing security function verification

information system design documentation

information system configuration settings and associated documentation

alerts/notifications of failed security verification tests

list of system transition states requiring security functionality verification

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security function verification responsibilities

organizational personnel implementing, operating, and maintaining the information system

system/network administrators

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Organizational processes for security function verification

automated mechanisms supporting and/or implementing security function verification capability

Control enhancements

SI-6 (1) NOTIFICATION OF FAILED SECURITY TESTS

cf SI-6: SECURITY FUNCTION VERIFICATION

Control

Withdrawn: Incorporated into SI-6.

SI-6 (2) AUTOMATION SUPPORT FOR DISTRIBUTED TESTING

Control

The information system implements automated mechanisms to support the management of distributed security testing.

Supplemental guidance

cf SI-2: FLAW REMEDIATION

Objective

Determine if the information system implements automated mechanisms to support the management of distributed security testing.

Assessment: EXAMINE

System and information integrity policy

procedures addressing security function verification

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security function verification responsibilities

organizational personnel implementing, operating, and maintaining the information system

system/network administrators

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security function verification

automated mechanisms supporting and/or implementing the management of distributed security testing

SI-6 (3) REPORT VERIFICATION RESULTS

Label: INSERT into si-6..3.

Parameter: si-6_prm_8 organization-defined personnel or roles

Control

The organization reports the results of security function verification to si-6_prm_8 INSERT into si-6..3. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.

cf SA-12: SUPPLY CHAIN PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

cf SI-5: SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Objectives

Determine if the organization:

[1]	defines personnel or roles designated to receive the results of security function verification; and

[2]	reports the results of security function verification to organization-defined personnel or roles.

Assessment: EXAMINE

System and information integrity policy

procedures addressing security function verification

information system design documentation

information system configuration settings and associated documentation

records of security function verification results

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with security function verification responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for reporting security function verification results

automated mechanisms supporting and/or implementing the reporting of security function verification results

References: None

SI-7 SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Label: INSERT into si-7

Parameter: si-7_prm_1 organization-defined software, firmware, and information

Control

The organization employs integrity verification tools to detect unauthorized changes to si-7_prm_1 INSERT into si-7 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.

cf SA-12: SUPPLY CHAIN PROTECTION

cf SC-8: TRANSMISSION CONFIDENTIALITY AND INTEGRITY

cf SC-13: CRYPTOGRAPHIC PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if the organization:

[1]

[a]	defines software requiring integrity verification tools to be employed to detect unauthorized changes;

[b]	defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;

[c]	defines information requiring integrity verification tools to be employed to detect unauthorized changes;

[2]

employs integrity verification tools to detect unauthorized changes to organization-defined:

[a]

software;

[b]	firmware; and

[c]	information.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Software, firmware, and information integrity verification tools

Control enhancements

SI-7 (1) INTEGRITY CHECKS

Label: INSERT into si-7..1.

Parameter: si-7_prm_2 organization-defined software, firmware, and information

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

at startup

at si-7_prm_4 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN]

si-7_prm_5 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-7..1.

Parameter: si-7_prm_4 organization-defined transitional states or security-relevant events

Label: INSERT into si-7..1.

Parameter: si-7_prm_5 organization-defined frequency

Control

The information system performs an integrity check of si-7_prm_2 INSERT into si-7..1. [NO PARAMETER VALUE GIVEN] si-7_prm_3 SELECT for { ancestor-or-self::*[@id][1]/@id } at startup at [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.

Objectives

Determine if:

[1]

the organization defines:

[a]	software requiring integrity checks to be performed;

[b]	firmware requiring integrity checks to be performed;

[c]	information requiring integrity checks to be performed;

[2]

the organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:

[a]

software;

[b]

firmware;

[c]	information;

[3]

the organization defines a frequency with which to perform an integrity check of organization-defined:

[a]

software;

[b]

firmware;

[c]	information;

[4]

the information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:

[a]	at startup;

[b]	at organization-defined transitional states or security-relevant events; and/or

[c]	with the organization-defined frequency.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity scans

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

SI-7 (2) AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS

Label: INSERT into si-7..2.

Parameter: si-7_prm_6 organization-defined personnel or roles

Control

The organization employs automated tools that provide notification to si-7_prm_6 INSERT into si-7..2. [NO PARAMETER VALUE GIVEN] upon discovering discrepancies during integrity verification.

Supplemental guidance

The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.

Objectives

Determine if the organization:

[1]	defines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and

[2]	employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity scans

automated tools supporting alerts and notifications for integrity discrepancies

alerts/notifications provided upon discovering discrepancies during integrity verifications

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms providing integrity discrepancy notifications

SI-7 (3) CENTRALLY-MANAGED INTEGRITY TOOLS

Control

The organization employs centrally managed integrity verification tools.

Supplemental guidance

cf AU-3: CONTENT OF AUDIT RECORDS

cf SI-2: FLAW REMEDIATION

cf SI-8: SPAM PROTECTION

Objective

Determine if the organization employs centrally managed integrity verification tools.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity scans

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for central management of integrity verification tools

organizational personnel with information security responsibilities

Assessment: TEST

Automated mechanisms supporting and/or implementing central management of integrity verification tools

SI-7 (4) TAMPER-EVIDENT PACKAGING

cf SA-12: SUPPLY CHAIN PROTECTION

Control

Withdrawn: Incorporated into SA-12.

SI-7 (5) AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

shuts the information system down

restarts the information system

implements si-7_prm_8 INSERT into si-7..5. [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-7..5.

Parameter: si-7_prm_8 organization-defined security safeguards

Control

The information system automatically si-7_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } shuts the information system down restarts the information system implements [NO PARAMETER VALUE GIVEN] when integrity violations are discovered.

Supplemental guidance

Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.

Objectives

Determine if:

[1]	the organization defines security safeguards to be implemented when integrity violations are discovered;

[2]

the information system automatically performs one or more of the following actions when integrity violations are discovered:

[a]	shuts the information system down;

[b]	restarts the information system; and/or

[c]	implements the organization-defined security safeguards.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity scans

records of integrity checks and responses to integrity violations

information audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms providing an automated response to integrity violations

automated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered

SI-7 (6) CRYPTOGRAPHIC PROTECTION

Control

The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.

Supplemental guidance

Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.

cf SC-13: CRYPTOGRAPHIC PROTECTION

Objectives

Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:

[1]

software;

[2]	firmware; and

[3]	information.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated documentation

records of detected unauthorized changes to software, firmware, and information

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

cryptographic mechanisms implementing software, firmware, and information integrity

SI-7 (7) INTEGRATION OF DETECTION AND RESPONSE

Label: INSERT into si-7..7.

Parameter: si-7_prm_9 organization-defined security-relevant changes to the information system

Control

The organization incorporates the detection of unauthorized si-7_prm_9 INSERT into si-7..7. [NO PARAMETER VALUE GIVEN] into the organizational incident response capability.

Supplemental guidance

This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.

cf IR-4: INCIDENT HANDLING

cf IR-5: INCIDENT MONITORING

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

[1]	defines unauthorized security-relevant changes to the information system; and

[2]	incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

procedures addressing incident response

information system design documentation

information system configuration settings and associated documentation

incident response records

information audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

organizational personnel with incident response responsibilities

Assessment: TEST

Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability

software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability

SI-7 (8) AUDITING CAPABILITY FOR SIGNIFICANT EVENTS

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

generates an audit record

alerts current user

alerts si-7_prm_11 INSERT into si-7..8. [NO PARAMETER VALUE GIVEN]

si-7_prm_12 INSERT into si-7..8. [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-7..8.

Parameter: si-7_prm_11 organization-defined personnel or roles

Label: INSERT into si-7..8.

Parameter: si-7_prm_12 organization-defined other actions

Control

The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: si-7_prm_10 SELECT for { ancestor-or-self::*[@id][1]/@id } generates an audit record alerts current user alerts [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.

cf AU-2: AUDIT EVENTS

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-12: AUDIT GENERATION

Objectives

Determine if:

[1]	the organization defines personnel or roles to be alerted upon detection of a potential integrity violation;

[2]	the organization defines other actions to be taken upon detection of a potential integrity violation;

[3]

[a]	the information system, upon detection of a potential integrity violation, provides the capability to audit the event;

[b]

the information system, upon detection of a potential integrity violation, initiates one or more of the following actions:

[1]	generates an audit record;

[2]	alerts current user;

[3]	alerts organization-defined personnel or roles; and/or

[4]	organization-defined other actions.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity scans

incident response records, list of security-relevant changes to the information system

automated tools supporting alerts and notifications if unauthorized security changes are detected

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing the capability to audit potential integrity violations

automated mechanisms supporting and/or implementing alerts about potential integrity violations

SI-7 (9) VERIFY BOOT PROCESS

Label: INSERT into si-7..9.

Parameter: si-7_prm_13 organization-defined devices

Control

The information system verifies the integrity of the boot process of si-7_prm_13 INSERT into si-7..9. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.

Objectives

Determine if:

[1]	the organization defines devices requiring integrity verification of the boot process; and

[2]	the information system verifies the integrity of the boot process of organization-defined devices.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

documentation

records of integrity verification scans

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing integrity verification of the boot process

SI-7 (10) PROTECTION OF BOOT FIRMWARE

Label: INSERT into si-7..10.

Parameter: si-7_prm_14 organization-defined security safeguards

Label: INSERT into si-7..10.

Parameter: si-7_prm_15 organization-defined devices

Control

The information system implements si-7_prm_14 INSERT into si-7..10. [NO PARAMETER VALUE GIVEN] to protect the integrity of boot firmware in si-7_prm_15 INSERT into si-7..10. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.

Objectives

Determine if:

[1]	the organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;

[2]	the organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and

[3]	the information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification tools and associated documentation

records of integrity verification scans

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing protection of the integrity of boot firmware

safeguards implementing protection of the integrity of boot firmware

SI-7 (11) CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES

Label: INSERT into si-7..11.

Parameter: si-7_prm_16 organization-defined user-installed software

Control

The organization requires that si-7_prm_16 INSERT into si-7..11. [NO PARAMETER VALUE GIVEN] execute in a confined physical or virtual machine environment with limited privileges.

Supplemental guidance

Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.

Objectives

Determine if the organization:

[1]	defines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and

[2]	requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)

automated mechanisms supporting and/or implementing limited privileges in the confined environment

SI-7 (12) INTEGRITY VERIFICATION

Label: INSERT into si-7..12.

Parameter: si-7_prm_17 organization-defined user-installed software

Control

The organization requires that the integrity of si-7_prm_17 INSERT into si-7..12. [NO PARAMETER VALUE GIVEN] be verified prior to execution.

Supplemental guidance

Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.

Objectives

Determine if the organization:

[1]	defines user-installed software requiring integrity verification prior to execution; and

[2]	requires that the integrity of organization-defined user-installed software be verified prior to execution.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

integrity verification records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution

SI-7 (13) CODE EXECUTION IN PROTECTED ENVIRONMENTS

Label: INSERT into si-7..13.

Parameter: si-7_prm_18 organization-defined personnel or roles

Control

The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of si-7_prm_18 INSERT into si-7..13. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.

Objectives

Determine if the organization:

[1]	allows execution of binary or machine-executable code obtained from sources with limited or no warranty;

[2]	allows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;

[3]	defines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and

[4]	allows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

approval records for execution of binary and machine-executable code

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code

SI-7 (14) BINARY OR MACHINE EXECUTABLE CODE

Control

The organization:

(a)	Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and

(b)	Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.

Supplemental guidance

This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.

cf SA-5: INFORMATION SYSTEM DOCUMENTATION

Objectives

Determine if the organization:

(a)

[1]	prohibits the use of binary or machine-executable code from sources with limited or no warranty;

[2]	prohibits the use of binary or machine-executable code without the provision of source code;

(b)

[1]	provides exceptions to the source code requirement only for compelling mission/operational requirements; and

[2]	provides exceptions to the source code requirement only with the approval of the authorizing official.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

approval records for execution of binary and machine-executable code

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

authorizing official

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code

SI-7 (15) CODE AUTHENTICATION

Label: INSERT into si-7..15.

Parameter: si-7_prm_19 organization-defined software or firmware components

Control

The information system implements cryptographic mechanisms to authenticate si-7_prm_19 INSERT into si-7..15. [NO PARAMETER VALUE GIVEN] prior to installation.

Supplemental guidance

Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.

Objectives

Determine if:

[1]

[a]	the organization defines software components to be authenticated by cryptographic mechanisms prior to installation;

[b]	the organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;

[2]

[a]	the information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and

[b]	the information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software, firmware, and information integrity

information system design documentation

information system configuration settings and associated documentation

cryptographic mechanisms and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Cryptographic mechanisms authenticating software/firmware prior to installation

SI-7 (16) TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION

Label: INSERT into si-7..16.

Parameter: si-7_prm_20 organization-defined time period

Control

The organization does not allow processes to execute without supervision for more than si-7_prm_20 INSERT into si-7..16. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.

Objectives

Determine if the organization:

[1]	defines a time period as the maximum period allowed for processes to execute without supervision; and

[2]	does not allow processes to execute without supervision for more than the organization-defined time period.

Assessment: EXAMINE

System and information integrity policy

procedures addressing software and information integrity

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for software, firmware, and/or information integrity

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Software, firmware, and information integrity verification tools

automated mechanisms supporting and/or implementing time limits on process execution without supervision

References

cf NIST Special Publication 800-147

cf NIST Special Publication 800-155

SI-8 SPAM PROTECTION

Control

The organization:

a.	Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and

b.	Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

Supplemental guidance

Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

cf SC-5: DENIAL OF SERVICE PROTECTION

cf SC-7: BOUNDARY PROTECTION

cf SI-3: MALICIOUS CODE PROTECTION

Objectives

Determine if the organization:

(a)

employs spam protection mechanisms:

[1]	at information system entry points to detect unsolicited messages;

[2]	at information system entry points to take action on unsolicited messages;

[3]	at information system exit points to detect unsolicited messages;

[4]	at information system exit points to take action on unsolicited messages; and

(b)	updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.

Assessment: EXAMINE

System and information integrity policy

configuration management policy and procedures (CM-1)

procedures addressing spam protection

spam protection mechanisms

records of spam protection updates

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for spam protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for implementing spam protection

automated mechanisms supporting and/or implementing spam protection

Control enhancements

SI-8 (1) CENTRAL MANAGEMENT

Control

The organization centrally manages spam protection mechanisms.

Supplemental guidance

Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.

cf AU-3: CONTENT OF AUDIT RECORDS

cf SI-2: FLAW REMEDIATION

cf SI-7: SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY

Objective

Determine if the organization centrally manages spam protection mechanisms.

Assessment: EXAMINE

System and information integrity policy

procedures addressing spam protection

spam protection mechanisms

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for spam protection

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for central management of spam protection

automated mechanisms supporting and/or implementing central management of spam protection

SI-8 (2) AUTOMATIC UPDATES

Control

The information system automatically updates spam protection mechanisms.

Objective

Determine if the information system automatically updates spam protection mechanisms.

Assessment: EXAMINE

System and information integrity policy

procedures addressing spam protection

spam protection mechanisms

records of spam protection updates

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for spam protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for spam protection

automated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms

SI-8 (3) CONTINUOUS LEARNING CAPABILITY

Control

The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

Supplemental guidance

Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.

Objective

Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.

Assessment: EXAMINE

System and information integrity policy

procedures addressing spam protection

spam protection mechanisms

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for spam protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for spam protection

automated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability

References

cf NIST Special Publication 800-45

SI-9 INFORMATION INPUT RESTRICTIONS

cf AC-2: ACCOUNT MANAGEMENT

cf AC-3: ACCESS ENFORCEMENT

cf AC-5: SEPARATION OF DUTIES

cf AC-6: LEAST PRIVILEGE

Control

Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6.

References: None

SI-10 INFORMATION INPUT VALIDATION

Label: INSERT into si-10

Parameter: si-10_prm_1 organization-defined information inputs

Control

The information system checks the validity of si-10_prm_1 INSERT into si-10 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.

Objectives

Determine if:

[1]	the organization defines information inputs requiring validity checks; and

[2]	the information system checks the validity of organization-defined information inputs.

Assessment: EXAMINE

System and information integrity policy

access control policy and procedures

separation of duties policy and procedures

procedures addressing information input validation

documentation for automated tools and applications to verify validity of information

list of information inputs requiring validity checks

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing validity checks on information inputs

Control enhancements

SI-10 (1) MANUAL OVERRIDE CAPABILITY

Label: INSERT into si-10..1._smt_a (SI-10 (1)(a))

Parameter: si-10_prm_2 organization-defined inputs

Label: INSERT into si-10..1._smt_b (SI-10 (1)(b))

Parameter: si-10_prm_3 organization-defined authorized individuals

Control

The information system:

(a)	Provides a manual override capability for input validation of si-10_prm_2 INSERT into si-10..1._smt_a (SI-10 (1)(a)) [NO PARAMETER VALUE GIVEN] ;

(b)	Restricts the use of the manual override capability to only si-10_prm_3 INSERT into si-10..1._smt_b (SI-10 (1)(b)) [NO PARAMETER VALUE GIVEN] ; and

(c)	Audits the use of the manual override capability.

Supplemental guidance

cf CM-3: CONFIGURATION CHANGE CONTROL

cf CM-5: ACCESS RESTRICTIONS FOR CHANGE

Objectives

Determine if:

(a)

[1]	the organization defines information inputs for which the information system provides a manual override capability for input validation;

[2]	the information system provides a manual override capability for input validation of organization-defined inputs;

(b)

[1]	the organization defines authorized individuals who can use the manual override capability;

[2]	the information system restricts the use of manual override capability to organization-defined authorized individuals; and

(c)	the information system audits the use of the manual override capability.

Assessment: EXAMINE

System and information integrity policy

access control policy and procedures

separation of duties policy and procedures

procedures addressing information input validation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for use of manual override capability

automated mechanisms supporting and/or implementing manual override capability for input validation

automated mechanisms supporting and/or implementing auditing of the use of manual override capability

SI-10 (2) REVIEW / RESOLUTION OF ERRORS

Label: INSERT into si-10..2.

Parameter: si-10_prm_4 organization-defined time period

Control

The organization ensures that input validation errors are reviewed and resolved within si-10_prm_4 INSERT into si-10..2. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.

Objectives

Determine if the organization:

[1]	defines a time period within which input validation errors are to be reviewed and resolved; and

[2]	ensures that input validation errors are reviewed and resolved within the organization-defined time period.

Assessment: EXAMINE

System and information integrity policy

access control policy and procedures

separation of duties policy and procedures

procedures addressing information input validation

information system design documentation

information system configuration settings and associated documentation

review records of information input validation errors and resulting resolutions

information input validation error logs or records

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

Assessment: TEST

Organizational processes for review and resolution of input validation errors

automated mechanisms supporting and/or implementing review and resolution of input validation errors

SI-10 (3) PREDICTABLE BEHAVIOR

Control

The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

Supplemental guidance

A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.

Objective

Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information input validation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received

SI-10 (4) REVIEW / TIMING INTERACTIONS

Control

The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.

Supplemental guidance

In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.

Objective

Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information input validation

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for determining appropriate responses to invalid inputs

automated mechanisms supporting and/or implementing responses to invalid inputs

SI-10 (5) RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS

Label: INSERT into si-10..5.

Parameter: si-10_prm_5 organization-defined trusted sources

Label: INSERT into si-10..5.

Parameter: si-10_prm_6 organization-defined formats

Control

The organization restricts the use of information inputs to si-10_prm_5 INSERT into si-10..5. [NO PARAMETER VALUE GIVEN] and/or si-10_prm_6 INSERT into si-10..5. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.

Objectives

Determine if the organization:

[1]	defines trusted sources to which the use of information inputs is to be restricted;

[2]	defines formats to which the use of information inputs is to be restricted;

[3]

restricts the use of information inputs to:

[a]	organization-defined trust sources; and/or

[b]	organization-defined formats.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information input validation

information system design documentation

information system configuration settings and associated documentation

list of trusted sources for information inputs

list of acceptable formats for input restrictions

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for restricting information inputs

automated mechanisms supporting and/or implementing restriction of information inputs

References: None

SI-11 ERROR HANDLING

Label: INSERT into si-11_smt_b (SI-11b.)

Parameter: si-11_prm_1 organization-defined personnel or roles

Control

The information system:

a.	Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and

b.	Reveals error messages only to si-11_prm_1 INSERT into si-11_smt_b (SI-11b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.

cf AU-2: AUDIT EVENTS

cf AU-3: CONTENT OF AUDIT RECORDS

cf SC-31: COVERT CHANNEL ANALYSIS

Objectives

Determine if:

(a)	the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;

(b)

[1]	the organization defines personnel or roles to whom error messages are to be revealed; and

[2]	the information system reveals error messages only to organization-defined personnel or roles.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information system error handling

information system design documentation

information system configuration settings and associated documentation

documentation providing structure/content of error messages

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information input validation

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for error handling

automated mechanisms supporting and/or implementing error handling

automated mechanisms supporting and/or implementing management of error messages

References: None

SI-12 INFORMATION HANDLING AND RETENTION

Control

The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.

Supplemental guidance

Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.

cf AC-16: SECURITY ATTRIBUTES

cf AU-5: RESPONSE TO AUDIT PROCESSING FAILURES

cf AU-11: AUDIT RECORD RETENTION

cf MP-2: MEDIA ACCESS

cf MP-4: MEDIA STORAGE

Objectives

Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:

[1]	handles information within the information system;

[2]	handles output from the information system;

[3]	retains information within the information system; and

[4]	retains output from the information system.

Assessment: EXAMINE

System and information integrity policy

federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention

media protection policy and procedures

procedures addressing information system output handling and retention

information retention records, other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for information handling and retention

organizational personnel with information security responsibilities/network administrators

Assessment: TEST

Organizational processes for information handling and retention

automated mechanisms supporting and/or implementing information handling and retention

References: None

SI-13 PREDICTABLE FAILURE PREVENTION

Label: INSERT into si-13_smt_a (SI-13a.)

Parameter: si-13_prm_1 organization-defined information system components

Label: INSERT into si-13_smt_b (SI-13b.)

Parameter: si-13_prm_2 organization-defined MTTF substitution criteria

Control

The organization:

a.	Determines mean time to failure (MTTF) for si-13_prm_1 INSERT into si-13_smt_a (SI-13a.) [NO PARAMETER VALUE GIVEN] in specific environments of operation; and

b.	Provides substitute information system components and a means to exchange active and standby components at si-13_prm_2 INSERT into si-13_smt_b (SI-13b.) [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.

cf CP-2: CONTINGENCY PLAN

cf CP-10: INFORMATION SYSTEM RECOVERY AND RECONSTITUTION

cf MA-6: TIMELY MAINTENANCE

Objectives

Determine if the organization:

(a)

[1]	defines information system components for which mean time to failure (MTTF) should be determined;

[2]	determines MTTF for organization-defined information system components in specific environments of operation;

(b)

[1]	defines MTTF substitution criteria to be used as a means to exchange active and standby components;

[2]	provides substitute information system components at organization-defined MTTF substitution criteria; and

[3]	provides a means to exchange active and standby components at organization-defined MTTF substitution criteria.

Assessment: EXAMINE

System and information integrity policy

procedures addressing predictable failure prevention

information system design documentation

information system configuration settings and associated documentation

list of MTTF substitution criteria

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for MTTF determinations and activities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with contingency planning responsibilities

Assessment: TEST

Organizational processes for managing MTTF

Control enhancements

SI-13 (1) TRANSFERRING COMPONENT RESPONSIBILITIES

Label: INSERT into si-13..1.

Parameter: si-13_prm_3 organization-defined fraction or percentage

Control

The organization takes information system components out of service by transferring component responsibilities to substitute components no later than si-13_prm_3 INSERT into si-13..1. [NO PARAMETER VALUE GIVEN] of mean time to failure.

Objectives

Determine if the organization:

[1]	defines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and

[2]	takes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.

Assessment: EXAMINE

System and information integrity policy

procedures addressing predictable failure prevention

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for MTTF activities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with contingency planning responsibilities

Assessment: TEST

Organizational processes for managing MTTF

automated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components

SI-13 (2) TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION

cf SI-7 (16): TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION

Control

Withdrawn: Incorporated into SI-7 (16).

SI-13 (3) MANUAL TRANSFER BETWEEN COMPONENTS

Label: INSERT into si-13..3.

Parameter: si-13_prm_4 organization-defined frequency

Label: INSERT into si-13..3.

Parameter: si-13_prm_5 organization-defined time period

Control

The organization manually initiates transfers between active and standby information system components si-13_prm_4 INSERT into si-13..3. [NO PARAMETER VALUE GIVEN] if the mean time to failure exceeds si-13_prm_5 INSERT into si-13..3. [NO PARAMETER VALUE GIVEN] .

Objectives

Determine if the organization:

[1]	defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;

[2]	defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and

[3]	manually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.

Assessment: EXAMINE

System and information integrity policy

procedures addressing predictable failure prevention

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for MTTF activities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with contingency planning responsibilities

Assessment: TEST

Organizational processes for managing MTTF and conducting the manual transfer between active and standby components

SI-13 (4) STANDBY COMPONENT INSTALLATION / NOTIFICATION

Label: INSERT into si-13..4._smt_a (SI-13 (4)(a))

Parameter: si-13_prm_6 organization-defined time period

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

Parameter: si-13_prm_7 Insertion into SI-13 (4)(b)

activates si-13_prm_8 INSERT into si-13..4._smt_b (SI-13 (4)(b)) [NO PARAMETER VALUE GIVEN]

automatically shuts down the information system

Label: INSERT into si-13..4._smt_b (SI-13 (4)(b))

Parameter: si-13_prm_8 organization-defined alarm

Control

The organization, if information system component failures are detected:

(a)	Ensures that the standby components are successfully and transparently installed within si-13_prm_6 INSERT into si-13..4._smt_a (SI-13 (4)(a)) [NO PARAMETER VALUE GIVEN] ; and

(b)	si-13_prm_7 SELECT for { ancestor-or-self::*[@id][1]/@id } activates automatically shuts down the information system [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.

Objectives

Determine if the organization:

(a)

[1]	defines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;

[2]	ensures that the standby components are successfully and transparently installed within the organization-defined time period;

(b)

[1]	defines an alarm to be activated when information system component failures are detected;

[2]

if information system component failures are detected, does one or more of the following:

[a]	activates the organization-defined alarm; and/or

[b]	automatically shuts down the information system.

Assessment: EXAMINE

System and information integrity policy

procedures addressing predictable failure prevention

information system design documentation

information system configuration settings and associated documentation

list of actions to be taken once information system component failure is detected

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for MTTF activities

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with contingency planning responsibilities

Assessment: TEST

Organizational processes for managing MTTF

automated mechanisms supporting and/or implementing transparent installation of standby components

automated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected

SI-13 (5) FAILOVER CAPABILITY

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

real-time

near real-time

Label: INSERT into si-13..5.

Parameter: si-13_prm_10 organization-defined failover capability

Control

The organization provides si-13_prm_9 SELECT for { ancestor-or-self::*[@id][1]/@id } real-time near real-time [NO PARAMETER VALUE GIVEN] si-13_prm_10 INSERT into si-13..5. [NO PARAMETER VALUE GIVEN] for the information system.

Supplemental guidance

Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.

Objectives

Determine if the organization:

[1]	defines failover capability to be provided for the information system;

[2]

provides one of the following organization-defined failover capabilities for the information system:

[a]	real-time failover capability; and/or

[b]	near real-time failover capability.

Assessment: EXAMINE

System and information integrity policy

procedures addressing predictable failure prevention

information system design documentation

information system configuration settings and associated documentation

documentation describing failover capability provided for the information system

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for failover capability

organizational personnel with information security responsibilities

system/network administrators

organizational personnel with contingency planning responsibilities

Assessment: TEST

Organizational processes for managing failover capability

automated mechanisms supporting and/or implementing failover capability

References: None

SI-14 NON-PERSISTENCE

Label: INSERT into si-14

Parameter: si-14_prm_1 organization-defined information system components and services

Label: SELECT for { ancestor-or-self::*[@id][1]/@id }

upon end of session of use

periodically at si-14_prm_3 INSERT into si-14 [NO PARAMETER VALUE GIVEN]

Label: INSERT into si-14

Parameter: si-14_prm_3 organization-defined frequency

Control

The organization implements non-persistent si-14_prm_1 INSERT into si-14 [NO PARAMETER VALUE GIVEN] that are initiated in a known state and terminated si-14_prm_2 SELECT for { ancestor-or-self::*[@id][1]/@id } upon end of session of use periodically at [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.

cf SC-30: CONCEALMENT AND MISDIRECTION

cf SC-34: NON-MODIFIABLE EXECUTABLE PROGRAMS

Objectives

Determine if the organization:

[1]	defines non-persistent information system components and services to be implemented;

[2]

[a]	defines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;

[b]

implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:

[1]	upon end of session of use; and/or

[2]	periodically at the organization-defined frequency.

Assessment: EXAMINE

System and information integrity policy

procedures addressing non-persistence for information system components

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for non-persistence

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing initiation and termination of non-persistent components

Control enhancements

SI-14 (1) REFRESH FROM TRUSTED SOURCES

Label: INSERT into si-14..1.

Parameter: si-14_prm_4 organization-defined trusted sources

Control

The organization ensures that software and data employed during information system component and service refreshes are obtained from si-14_prm_4 INSERT into si-14..1. [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.

Objectives

Determine if the organization:

[1]	defines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and

[2]	ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.

Assessment: EXAMINE

System and information integrity policy

procedures addressing non-persistence for information system components

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for obtaining component and service refreshes from trusted sources

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining and obtaining component and service refreshes from trusted sources

automated mechanisms supporting and/or implementing component and service refreshes

References: None

SI-15 INFORMATION OUTPUT FILTERING

Label: INSERT into si-15

Parameter: si-15_prm_1 organization-defined software programs and/or applications

Control

The information system validates information output from si-15_prm_1 INSERT into si-15 [NO PARAMETER VALUE GIVEN] to ensure that the information is consistent with the expected content.

Supplemental guidance

Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.

cf SI-3: MALICIOUS CODE PROTECTION

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if:

[1]	the organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and

[2]	the information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.

Assessment: EXAMINE

System and information integrity policy

procedures addressing information output filtering

information system design documentation

information system configuration settings and associated documentation

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for validating information output

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational processes for validating information output

automated mechanisms supporting and/or implementing information output validation

References: None

SI-16 MEMORY PROTECTION

Label: INSERT into si-16

Parameter: si-16_prm_1 organization-defined security safeguards

Control

The information system implements si-16_prm_1 INSERT into si-16 [NO PARAMETER VALUE GIVEN] to protect its memory from unauthorized code execution.

Supplemental guidance

Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.

cf AC-25: REFERENCE MONITOR

cf SC-3: SECURITY FUNCTION ISOLATION

Objectives

Determine if:

[1]	the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and

[2]	the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.

Assessment: EXAMINE

System and information integrity policy

procedures addressing memory protection for the information system

information system design documentation

information system configuration settings and associated documentation

list of security safeguards protecting information system memory from unauthorized code execution

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for memory protection

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution

References: None

SI-17 FAIL-SAFE PROCEDURES

Label: INSERT into si-17

Parameter: si-17_prm_1 organization-defined fail-safe procedures

Label: INSERT into si-17

Parameter: si-17_prm_2 organization-defined failure conditions occur

Control

The information system implements si-17_prm_1 INSERT into si-17 [NO PARAMETER VALUE GIVEN] when si-17_prm_2 INSERT into si-17 [NO PARAMETER VALUE GIVEN] .

Supplemental guidance

Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).

cf CP-12: SAFE MODE

cf CP-13: ALTERNATIVE SECURITY MECHANISMS

cf SC-24: FAIL IN KNOWN STATE

cf SI-13: PREDICTABLE FAILURE PREVENTION

Objectives

Determine if:

[1]	the organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;

[2]	the organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and

[3]	the information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.

Assessment: EXAMINE

System and information integrity policy

procedures addressing memory protection for the information system

information system design documentation

information system configuration settings and associated documentation

list of security safeguards protecting information system memory from unauthorized code execution

information system audit records

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for fail-safe procedures

organizational personnel with information security responsibilities

system/network administrators

system developer

Assessment: TEST

Organizational fail-safe procedures

automated mechanisms supporting and/or implementing fail-safe procedures

References: None

PROGRAM MANAGEMENT

PM-1 INFORMATION SECURITY PROGRAM PLAN

Label: INSERT into pm-1_smt_b (PM-1b.)

Parameter: pm-1_prm_1 organization-defined frequency

Control

The organization:

Develops and disseminates an organization-wide information security program plan that:

1.	Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;

2.	Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;

3.	Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and

4.	Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;

b.	Reviews the organization-wide information security program plan pm-1_prm_1 INSERT into pm-1_smt_b (PM-1b.) [NO PARAMETER VALUE GIVEN] ;

c.	Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and

d.	Protects the information security program plan from unauthorized disclosure and modification.

Supplemental guidance

Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

Objectives

Determine if the organization:

(a)

develops and disseminates an organization-wide information security program plan that:

(1)

[1]	provides an overview of the requirements for the security program;

[2]

provides a description of the:

[a]	security program management controls in place or planned for meeting those requirements;

[b]	common controls in place or planned for meeting those requirements;

(2)

includes the identification and assignment of:

[1]

roles;

[2]	responsibilities;

[3]	management commitment;

[4]	coordination among organizational entities;

[5]	compliance;

(3)	reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);

(4)	is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;

(b)

[1]	defines the frequency to review the security program plan for the information system;

[2]	reviews the organization-wide information security program plan with the organization-defined frequency;

(c)

updates the plan to address organizational:

[1]	changes identified during plan implementation;

[2]	changes identified during security control assessments;

[3]	problems identified during plan implementation;

[4]	problems identified during security control assessments;

(d)

protects the information security program plan from unauthorized:

[1]	disclosure; and

[2]	modification.

Assessment: EXAMINE

Information security program plan

procedures addressing program plan development and implementation

procedures addressing program plan reviews and updates

procedures addressing coordination of the program plan with relevant entities

procedures for program plan approvals

records of program plan reviews and updates

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for information security program plan development/review/update/approval

automated mechanisms supporting and/or implementing the information security program plan

References: None

PM-2 SENIOR INFORMATION SECURITY OFFICER

Control

The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.

Supplemental guidance

The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.

Objectives

Determine if the organization appoints a senior information security officer with the mission and resources to:

[1]	coordinate an organization-wide information security program;

[2]	develop an organization-wide information security program;

[3]	implement an organization-wide information security program; and

[4]	maintain an organization-wide information security program.

Assessment: EXAMINE

Information security program plan

procedures addressing program plan development and implementation

procedures addressing program plan reviews and updates

procedures addressing coordination of the program plan with relevant entities

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

senior information security officer

organizational personnel with information security responsibilities

References: None

PM-3 INFORMATION SECURITY RESOURCES

Control

The organization:

a.	Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;

b.	Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and

c.	Ensures that information security resources are available for expenditure as planned.

Supplemental guidance

Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.

cf PM-4: PLAN OF ACTION AND MILESTONES PROCESS

cf SA-2: ALLOCATION OF RESOURCES

Objectives

Determine if the organization:

(a)

[1]	ensures that all capital planning and investment requests include the resources needed to implement the information security program plan;

[2]	documents all exceptions to the requirement;

(b)	employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and

(c)	ensures that information security resources are available for expenditure as planned.

Assessment: EXAMINE

Information security program plan

Exhibits 300

Exhibits 53

business cases for capital planning and investment

procedures for capital planning and investment

documentation of exceptions to capital planning requirements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning responsibilities

organizational personnel responsible for capital planning and investment

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for capital planning and investment

organizational processes for business case/Exhibit 300/Exhibit 53 development

automated mechanisms supporting the capital planning and investment process

References

cf NIST Special Publication 800-65

PM-4 PLAN OF ACTION AND MILESTONES PROCESS

Control

The organization:

Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:

1.	Are developed and maintained;

2.	Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and

3.	Are reported in accordance with OMB FISMA reporting requirements.

b.	Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

Supplemental guidance

The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.

cf CA-5: PLAN OF ACTION AND MILESTONES

Objectives

Determine if the organization:

(a)

implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:

(1)

[1]	are developed;

[2]	are maintained;

(2)	document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;

(3)	are reported in accordance with OMB FISMA reporting requirements;

(b)

reviews plans of action and milestones for consistency with:

[1]	the organizational risk management strategy; and

[2]	organization-wide priorities for risk response actions.

Assessment: EXAMINE

Information security program plan

plans of action and milestones

procedures addressing plans of action and milestones development and maintenance

procedures addressing plans of action and milestones reporting

procedures for review of plans of action and milestones for consistency with risk management strategy and risk response priorities

results of risk assessments associated with plans of action and milestones

OMB FISMA reporting requirements

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for plan of action and milestones development, review, maintenance, reporting

automated mechanisms supporting plans of action and milestones

References

cf OMB Memorandum 02-01

cf NIST Special Publication 800-37

PM-5 INFORMATION SYSTEM INVENTORY

Control

The organization develops and maintains an inventory of its information systems.

Supplemental guidance

This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.

Objectives

Determine if the organization:

[1]	develops an inventory of its information systems; and

[2]	maintains the inventory of its information systems.

Assessment: EXAMINE

Information security program plan

information system inventory

procedures addressing information system inventory development and maintenance

OMB FISMA reporting guidance

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for developing and maintaining the information system inventory

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for information system inventory development and maintenance

automated mechanisms supporting the information system inventory

References

cf http://www.omb.gov

PM-6 INFORMATION SECURITY MEASURES OF PERFORMANCE

Control

The organization develops, monitors, and reports on the results of information security measures of performance.

Supplemental guidance

Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.

Objectives

Determine if the organization:

[1]	develops information security measures of performance;

[2]	monitors information security measures of performance; and

[3]	reports information security measures of performance.

Assessment: EXAMINE

Information security program plan

information security measures of performance

procedures addressing development, monitoring, and reporting of information security measures of performance

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for developing, monitoring, and reporting information security measures of performance

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for developing, monitoring, and reporting information security measures of performance

automated mechanisms supporting the development, monitoring, and reporting of information security measures of performance

References

cf NIST Special Publication 800-55

PM-7 ENTERPRISE ARCHITECTURE

Control

The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.

Supplemental guidance

The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization’s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization’s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.

cf PL-2: SYSTEM SECURITY PLAN

cf PL-8: INFORMATION SECURITY ARCHITECTURE

cf PM-11: MISSION/BUSINESS PROCESS DEFINITION

cf RA-2: SECURITY CATEGORIZATION

cf SA-3: SYSTEM DEVELOPMENT LIFE CYCLE

Objectives

Determine if the organization develops an enterprise architecture with consideration for:

[1]	information security; and

[2]	the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.

Assessment: EXAMINE

Information security program plan

enterprise architecture documentation

procedures addressing enterprise architecture development

results of risk assessment of enterprise architecture

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for developing enterprise architecture

organizational personnel responsible for risk assessment of enterprise architecture

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for enterprise architecture development

automated mechanisms supporting the enterprise architecture and its development

References

cf NIST Special Publication 800-39

PM-8 CRITICAL INFRASTRUCTURE PLAN

Control

The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

Supplemental guidance

Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

cf PM-1: INFORMATION SECURITY PROGRAM PLAN

cf PM-9: RISK MANAGEMENT STRATEGY

cf PM-11: MISSION/BUSINESS PROCESS DEFINITION

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization addresses information security issues in the:

[1]	development of a critical infrastructure and key resources protection plan;

[2]	documentation of a critical infrastructure and key resources protection plan; and

[3]	updating of the critical infrastructure and key resources protection plan.

Assessment: EXAMINE

Information security program plan

critical infrastructure and key resources protection plan

procedures addressing development, documentation, and updating of the critical infrastructure and key resources protection plan

HSPD 7

National Infrastructure Protection Plan

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan

automated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan

References

cf HSPD 7

cf National Infrastructure Protection Plan

PM-9 RISK MANAGEMENT STRATEGY

Label: INSERT into pm-9_smt_c (PM-9c.)

Parameter: pm-9_prm_1 organization-defined frequency

Control

The organization:

a.	Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;

b.	Implements the risk management strategy consistently across the organization; and

c.	Reviews and updates the risk management strategy pm-9_prm_1 INSERT into pm-9_smt_c (PM-9c.) [NO PARAMETER VALUE GIVEN] or as required, to address organizational changes.

Supplemental guidance

An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization’s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.

cf RA-3: RISK ASSESSMENT

Objectives

Determine if the organization:

(a)	develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;

(b)	implements the risk management strategy consistently across the organization;

(c)

[1]	defines the frequency to review and update the risk management strategy;

[2]

reviews and updates the risk management strategy to address organizational changes:

[a]	with the organization-defined frequency; or

[b]	as required.

Assessment: EXAMINE

Information security program plan

risk management strategy

procedures addressing development, implementation, review, and update of the risk management strategy

risk assessment results relevant to the risk management strategy

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for development, implementation, review, and update of the risk management strategy

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for development, implementation, review, and update of the risk management strategy

automated mechanisms supporting the development, implementation, review, and update of the risk management strategy

References

cf NIST Special Publication 800-30

cf NIST Special Publication 800-39

PM-10 SECURITY AUTHORIZATION PROCESS

Control

The organization:

a.	Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;

b.	Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

c.	Fully integrates the security authorization processes into an organization-wide risk management program.

Supplemental guidance

Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.

cf CA-6: SECURITY AUTHORIZATION

Objectives

Determine if the organization:

(a)	manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;

(b)	designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and

(c)	fully integrates the security authorization processes into an organization-wide risk management program.

Assessment: EXAMINE

Information security program plan

procedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process

security authorization documents

lists or other documentation about security authorization process roles and responsibilities

risk assessment results relevant to the security authorization process and the organization-wide risk management program

organizational risk management strategy

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for management of the security authorization process

authorizing officials

system owners, senior information security officer

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for security authorization

automated mechanisms supporting the security authorization process

References

cf NIST Special Publication 800-37

cf NIST Special Publication 800-39

PM-11 MISSION/BUSINESS PROCESS DEFINITION

Control

The organization:

a.	Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and

b.	Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.

Supplemental guidance

Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization’s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.

cf PM-7: ENTERPRISE ARCHITECTURE

cf PM-8: CRITICAL INFRASTRUCTURE PLAN

cf RA-2: SECURITY CATEGORIZATION

Objectives

Determine if the organization:

(a)	defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;

(b)

[1]	determines information protection needs arising from the defined mission/business process; and

[2]	revises the processes as necessary until achievable protection needs are obtained.

Assessment: EXAMINE

Information security program plan

risk management strategy

procedures for determining mission/business protection needs

risk assessment results relevant to determination of mission/business protection needs

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for mission/business processes

organizational personnel responsible for determining information protection needs for mission/business processes

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for defining mission/business processes and their information protection needs

References

cf FIPS Publication 199

cf NIST Special Publication 800-60

PM-12 INSIDER THREAT PROGRAM

Control

The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.

Supplemental guidance

Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.

cf AC-6: LEAST PRIVILEGE

cf AT-2: SECURITY AWARENESS TRAINING

cf AU-6: AUDIT REVIEW, ANALYSIS, AND REPORTING

cf AU-7: AUDIT REDUCTION AND REPORT GENERATION

cf AU-10: NON-REPUDIATION

cf AU-12: AUDIT GENERATION

cf AU-13: MONITORING FOR INFORMATION DISCLOSURE

cf CA-7: CONTINUOUS MONITORING

cf IA-4: IDENTIFIER MANAGEMENT

cf IR-4: INCIDENT HANDLING

cf MP-7: MEDIA USE

cf PE-2: PHYSICAL ACCESS AUTHORIZATIONS

cf PS-3: PERSONNEL SCREENING

cf PS-4: PERSONNEL TERMINATION

cf PS-5: PERSONNEL TRANSFER

cf PS-8: PERSONNEL SANCTIONS

cf SC-7: BOUNDARY PROTECTION

cf SC-38: OPERATIONS SECURITY

cf SI-4: INFORMATION SYSTEM MONITORING

cf PM-1: INFORMATION SECURITY PROGRAM PLAN

cf PM-14: TESTING, TRAINING, AND MONITORING

Objective

Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.

Assessment: EXAMINE

Information security program plan

insider threat program documentation

procedures for the insider threat program

risk assessment results relevant to insider threats

list or other documentation on the cross-discipline insider threat incident handling team

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for the insider threat program

members of the cross-discipline insider threat incident handling team

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team

automated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team

References

cf Executive Order 13587

PM-13 INFORMATION SECURITY WORKFORCE

Control

The organization establishes an information security workforce development and improvement program.

Supplemental guidance

Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.

cf AT-2: SECURITY AWARENESS TRAINING

cf AT-3: ROLE-BASED SECURITY TRAINING

Objective

Determine if the organization establishes an information security workforce development and improvement program.

Assessment: EXAMINE

Information security program plan

information security workforce development and improvement program documentation

procedures for the information security workforce development and improvement program

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for the information security workforce development and improvement program

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for implementing information security workforce development and improvement program

automated mechanisms supporting and/or implementing the information security workforce development and improvement program

References: None

PM-14 TESTING, TRAINING, AND MONITORING

Control

The organization:

Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:

1.	Are developed and maintained; and

2.	Continue to be executed in a timely manner;

b.	Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.

Supplemental guidance

This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.

cf AT-3: ROLE-BASED SECURITY TRAINING

cf CA-7: CONTINUOUS MONITORING

cf CP-4: CONTINGENCY PLAN TESTING

cf IR-3: INCIDENT RESPONSE TESTING

cf SI-4: INFORMATION SYSTEM MONITORING

Objectives

Determine if the organization:

(a)

implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:

(1)

[1]	are developed;

[2]	are maintained;

(2)	continue to be executed in a timely manner;

(b)

reviews testing, training, and monitoring plans for consistency with:

[1]	the organizational risk management strategy; and

[2]	organization-wide priorities for risk response actions.

Assessment: EXAMINE

Information security program plan

plans for conducting security testing, training, and monitoring activities

organizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities

risk management strategy

procedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities

results of risk assessments associated with conducting security testing, training, and monitoring activities

evidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities

organizational personnel with information security responsibilities

Assessment: TEST

Organizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities

automated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities

References

cf NIST Special Publication 800-16

cf NIST Special Publication 800-37

cf NIST Special Publication 800-53A

cf NIST Special Publication 800-137

PM-15 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

Control

The organization establishes and institutionalizes contact with selected groups and associations within the security community:

a.	To facilitate ongoing security education and training for organizational personnel;

b.	To maintain currency with recommended security practices, techniques, and technologies; and

c.	To share current security-related information including threats, vulnerabilities, and incidents.

Supplemental guidance

Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.

cf SI-5: SECURITY ALERTS, ADVISORIES, AND DIRECTIVES

Objectives

Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:

(a)	facilitate ongoing security education and training for organizational personnel;

(b)	maintain currency with recommended security practices, techniques, and technologies; and

(c)	share current security-related information including threats, vulnerabilities, and incidents.

Assessment: EXAMINE

Information security program plan

risk management strategy

procedures for contacts with security groups and associations

evidence of established and institutionalized contact with security groups and associations

lists or other documentation about contact with and/or membership in security groups and associations

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for establishing and institutionalizing contact with security groups and associations

organizational personnel with information security responsibilities

personnel from selected groups and associations with which the organization has established and institutionalized contact

Assessment: TEST

Organizational processes for establishing and institutionalizing contact with security groups and associations

automated mechanisms supporting contacts with security groups and associations

References: None

PM-16 THREAT AWARENESS PROGRAM

Control

The organization implements a threat awareness program that includes a cross-organization information-sharing capability.

Supplemental guidance

Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.

cf PM-12: INSIDER THREAT PROGRAM

cf PM-16: THREAT AWARENESS PROGRAM

Objective

Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability.

Assessment: EXAMINE

Information security program plan

threat awareness program documentation

procedures for the threat awareness program

risk assessment results relevant to threat awareness

list or other documentation on the cross-organization information-sharing capability

other relevant documents or records

Assessment: INTERVIEW

Organizational personnel with information security program planning and plan implementation responsibilities

organizational personnel responsible for the threat awareness program

organizational personnel with responsibility for the cross-organization information-sharing capability

organizational personnel with information security responsibilities

personnel with whom threat awareness information is shared by the organization

Assessment: TEST

Organizational processes for implementing the threat awareness program

Organizational processes for implementing the cross-organization information-sharing capability

automated mechanisms supporting and/or implementing the threat awareness program

automated mechanisms supporting and/or implementing the cross-organization information-sharing capability